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Kristen Lopez

Merrill Lynch, Pierce, Fenner & Smith Incorporated

San Diego, CA

Newbury Park, CA

Westlake Village, CA

Woodland Hills, CA

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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_RES 2018-09-12
CA RA APPROVED 2018-08-31
  • TX RA
    APPROVED_RES
    Since 2018-09-12
  • CA RA
    APPROVED
    Since 2018-08-31

Branch Locations

11811 Bernardo Plaza Ct, San Diego, CA 92128 • United States

Newbury Park, CA • United States

2815 Townsgate Rd, Westlake Village, CA 91361 • United States

21215 Burbank Blvd, Woodland Hills, CA 91367 • 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
Farmers Financial Solutions, Llc Agoura Hills CA 04/2015 08/2018
Merrill Lynch, Pierce, Fenner & Smith Incorporated Oxnard CA 08/2018 Present
Previous Registrations
  • 2016-08-29 → 2018-08-17
    Farmers Financial Solutions, Llc
    Westlake Village, CA
  • 2014-03-10 → 2015-05-05
    Morgan Stanley
    Beverly Hills, CA
    Woodland Hills, CA
    Westlake Village, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-03-08
S63 Uniform Securities Agent State Law Examination 2008-11-20
  • S65 Uniform Investment Adviser Law Examination
    2014-03-08
  • S63 Uniform Securities Agent State Law Examination
    2008-11-20
Other Names
  • Kristen C Henderson
  • Kristen Charlotte Henderson
  • Kristen C Lopez
  • Kristen Charlotte Lopez

View on SEC IAPD

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Other Offices

CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
RBC CAPITAL MARKETS, LLC · SAN DIEGO, CA
CETERA INVESTMENT MANAGEMENT LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA

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