Danny C Lopez

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2019-08-14
NC	RA	APPROVED	2019-08-02

TX RA
APPROVED

Since 2019-08-14
NC RA
APPROVED

Since 2019-08-02

Branch Locations

Charlotte, NC • United States

6000 Fairview Rd, Charlotte, NC 28210 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Bank Of America, N.A.	New York	NY	07/2015	03/2019
Wells Fargo Clearing Services, Llc	Charlotte	NC	03/2019	07/2019
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Charlotte	NC	07/2019	Present

07/2015 → 03/2019

Bank Of America, N.A.

New York, NY
03/2019 → 07/2019

Wells Fargo Clearing Services, Llc

Charlotte, NC
07/2019 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Charlotte, NC

Previous Registrations

2019-03-18 → 2019-07-25

Wells Fargo Clearing Services, Llc

Charlotte, NC
2011-07-01 → 2019-03-04

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New York, NY
2011-05-05 → 2011-05-05

Equitable Advisors, Llc

Highland Mills, NY

New York, NY

New York, NY

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2011-03-19

S66 Uniform Combined State Law Examination

2011-03-19

Other Names

Danny C Lopez
Danny Lopez

View on SEC IAPD

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