Ethel Lopez

Wells Fargo Clearing Services, LLC

Westlake Village, CA

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Current Employers

Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2023-06-05

CA RA
APPROVED

Since 2023-06-05

Branch Locations

3059 Townsgate Rd 4Th Fl, Ste 400, Westlake Village, CA 91361 • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Westlake Village	CA	10/2005	10/2018
First Republic Securities Company, Llc	Los Angeles	CA	10/2018	06/2023
First Republic Investment Management, Inc.	Los Angeles	CA	10/2018	06/2023
Wells Fargo Clearing Services, Llc	Westlake Village	CA	06/2023	Present

10/2005 → 10/2018

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Westlake Village, CA
10/2018 → 06/2023

First Republic Securities Company, Llc

Los Angeles, CA
10/2018 → 06/2023

First Republic Investment Management, Inc.

Los Angeles, CA
06/2023 → Present

Wells Fargo Clearing Services, Llc

Westlake Village, CA

Previous Registrations

2018-10-26 → 2023-06-06

J.P. Morgan Private Wealth Advisors Llc

Los Angeles, CA

Encino, CA
2006-09-12 → 2018-10-30

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Seattle, WA

Westlake Village, CA

Westlake Village, CA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2006-09-11

S66 Uniform Combined State Law Examination

2006-09-11

Designations

Other Names

Ethel P Aliyandro-Obane
Ethel P Alejandro-Obcena
Ethel A Lopez
Ethel Lopez

View on SEC IAPD

Other Firms

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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

EAGLE STRATEGIES LLC

RKS MANAGEMENT, INC.

MERCER GLOBAL ADVISORS INC.

LPL FINANCIAL LLC

MML INVESTORS SERVICES, LLC

Other Investors

Seth Christian Catanese

FRANKLIN SCHENECK WHITEHOUSE

LAURA JO Navarro

STEVEN MICHAEL REZZELLE

Other Offices

MANCHESTER FINANCIAL INC · WESTLAKE VILLAGE, CA

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · WESTLAKE VILLAGE, CA

EAGLE STRATEGIES LLC · WESTLAKE VILLAGE, CA

RKS MANAGEMENT, INC. · WESTLAKE VILLAGE, CA

MERCER GLOBAL ADVISORS INC. · Westlake Village, CA

LPL FINANCIAL LLC · WESTLAKE VILLAGE, CA

MML INVESTORS SERVICES, LLC · WESTLAKE VILLAGE, CA

EDWARD JONES · Westlake Village, CA

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