Kristen 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

• 04/2015 → 08/2018
  Farmers Financial Solutions, Llc
  Agoura Hills, CA
• 08/2018 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Oxnard, CA

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

• 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