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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2022-10-21 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors, Llc | Palo Alto | CA | 05/2015 | 11/2016 |
| Wells Fargo Bank, Na | Palo Alto | CA | 07/2014 | 11/2016 |
| Jp Morgan Chase Bank | San Francisco | CA | 11/2016 | 10/2022 |
| Jp Morgan Securities, Llc | San Francisco | CA | 11/2016 | 10/2022 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Palo Alto | CA | 10/2022 | Present |
| Bank Of America N.A. | Palo Alto | CA | 01/2023 | Present |
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
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-11-19 |
| S63 | Uniform Securities Agent State Law Examination | 2015-06-17 |
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