Gino Paulo Diaz Lopez

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars
• PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2015 → 11/2016
  Wells Fargo Advisors, Llc
  Palo Alto, CA
• 07/2014 → 11/2016
  Wells Fargo Bank, Na
  Palo Alto, CA
• 11/2016 → 10/2022
  Jp Morgan Chase Bank
  San Francisco, CA
• 11/2016 → 10/2022
  Jp Morgan Securities, Llc
  San Francisco, CA
• 10/2022 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Palo Alto, CA
• 01/2023 → Present
  Bank Of America N.A.
  Palo Alto, CA

Previous Registrations

• 2018-11-29 → 2022-10-22
  J.P. Morgan Securities Llc
  San Francisco, CA
  San Francisco,, CA
  San Francisco, CA
  San Francisco, CA

Other Businesses

I*1391279 For profit or not for profit: Entity For Profit Name of outside business organization: Gino Lopez Investment related: N Address of business: San Francisco, California, 94116, United States Nature of business: ["Sole Proprietorship"] Position, title, association: ["Owner"], Start date of relationship: 7/11/2023 Number of hours devoted: 1 hour(s) Weekly Number of hours devoted during trading hours: 0 Duties: , Owner

Exams

• S66 Uniform Combined State Law Examination
  2018-11-19
• S63 Uniform Securities Agent State Law Examination
  2015-06-17

Other Names

• Gino Lopez
• Gino Paulo Diaz Lopez
• Gino Paulo Diaz Lopez