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Horacio Lopez

Charles Schwab & Co., Inc.

Encino, CA

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Current Employers
Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2022-01-25
  • CA RA
    APPROVED
    Since 2022-01-25

Branch Locations

16000 Ventura Boulevard Suite 102 & 1105, Encino, CA 91436 • 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
Td Ameritrade San Diego CA 07/2016 12/2022
Charles Schwab And Co., Inc. San Diego CA 12/2022 Present
Charles Schwab Bank, Ssb San Diego CA 01/2024 Present
  • 07/2016 → 12/2022
    Td Ameritrade
    San Diego, CA
  • 12/2022 → Present
    Charles Schwab And Co., Inc.
    San Diego, CA
  • 01/2024 → Present
    Charles Schwab Bank, Ssb
    San Diego, CA
Previous Registrations
  • 2016-09-21 → 2023-09-07
    Td Ameritrade Investment Management, Llc
    San Diego, CA
    Santa Barbara, CA
    Encino, CA
    Encino, CA
  • 2016-09-21 → 2022-10-14
    Td Ameritrade, Inc.
    San Diego, CA
    San Diego, CA
    San Diego, CA
    Omaha, NE
    Santa Barbara, CA
    Encino, CA
    Encino, CA
    Encino, CA
    Thousand Oaks, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-09-20
  • S66 Uniform Combined State Law Examination
    2016-09-20
Designations
Other Names
  • Horacio Lopez
  • Horacio Lopez

View on SEC IAPD

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Other Offices

GOODSTEIN WEALTH MANAGEMENT LLC · ENCINO, CA
PORTFOLIO DESIGN LABS, LLC · ENCINO, CA
WILLNER & HELLER LLC · ENCINO, CA
WEALTH MANAGEMENT PARTNERS OF LOS ANGELES · ENCINO, CA
FINANCIAL PLANNING FOR GENERATIONS, INC. · ENCINO, CA
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WELLS FARGO CLEARING SERVICES, LLC · ENCINO, CA
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