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Alan Alexis Lopez

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Houston, TX

Farmington Hills, MI

Houston, TX

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2018-05-11
  • TX RA
    APPROVED
    Since 2018-05-11

Branch Locations

5775 N Sam Houston Pkwy W, Houston, TX 77086 • United States

39001 W 12 Mile Rd, Farmington Hills, MI 48331 • United States

Houston, TX • 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
Lsnb Investment Services Mcallen TX 06/2015 05/2018
Lpl Financial Llc Mcallen TX 07/2015 05/2018
Merrill Lynch, Pierce, Fenner & Smith Incorporated Mcallen TX 05/2018 Present
Bank Of America, N.A. Mcallen TX 05/2018 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-03-10
S63 Uniform Securities Agent State Law Examination 2012-08-21
  • S66 Uniform Combined State Law Examination
    2017-03-10
  • S63 Uniform Securities Agent State Law Examination
    2012-08-21
Other Names
  • Alan Alexis Lopez
  • Alan Lopez

View on SEC IAPD

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Other Offices

BRIDGE CAPITAL ADVISORS · HOUSTON, TX
TSA WEALTH MANAGEMENT · HOUSTON, TX
PEREA CAPITAL · HOUSTON, TX
TRI-STAR ADVISORS, INC. · HOUSTON, TX
HORNOR, TOWNSEND & KENT, LLC · Houston, TX
AMERIPRISE FINANCIAL SERVICES, LLC · Houston, TX
LPL FINANCIAL LLC · HOUSTON, TX
MARINER INDEPENDENT · Houston, TX

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