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Inactive

Louis David Lopez

Mariner

El Suegundo, CA

San Diego, CA

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Current Employers
Mariner

5700 W. 112Th Street Suite 500, Overland Park, KS 66211 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2012-05-18
  • CA RA
    APPROVED
    Since 2012-05-18

Branch Locations

1960 E. Grand Ave. Suite 410, El Suegundo, CA 90245 • United States

11455 El Camino Real Suite 480, San Diego, CA 92130 • 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
OrganizationCityStateFromTo
Mariner Wealth Advisors San Diego CA 04/2012 Present
  • 04/2012 → Present
    Mariner Wealth Advisors
    San Diego, CA
Previous Registrations
  • 2012-01-23 → 2012-04-12
    Hk Financial
    Cardiff, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-01-20
  • S65 Uniform Investment Adviser Law Examination
    2012-01-20
Designations
Other Names
  • Louis Lopez

View on SEC IAPD

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