Diana Louise Lopez

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2018-04-23

FL RA
APPROVED

Since 2018-04-23

Branch Locations

4225 Ponce De Leon Blvd Suite 600, Coral Gables, FL 33146 • United States

401 East Las Olas Boulevard Las Olas Centre, Ft. Lauderdale, FL 33301 • United States

Pompano Beach, FL • 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
Hsbc	Miami	FL	05/2006	Present

05/2006 → Present

Hsbc

Miami, FL

Other Businesses

Catholic Charities of the Archdiocese of Miami Inc / 1505 NE 26th Street Wilton Manors,Florida 33305 / United States / Charity / www.ccadm.org / Catholic Charities is a multi-funded NPO which provides various services to the tri-county areas of Broward, Miami-Dade and Monroe counties. Services include: Adoption, Alcohol and Substance Abuse, Child Development, Behavioral Health, Elderly Services, Homeless Prevention and Rapid R-Housing, Housing Services and Immigrant Refugee Services. In 2018 they provided services to over 5,900 persons in need throughout the three counties. / Member of Board of directors / I will be part of the Administrative Committee for the Head Start/Early Head Start programs under Child Development / Start Date 9/1/2019 /

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2018-03-29
S63	Uniform Securities Agent State Law Examination	2012-07-09

S65 Uniform Investment Adviser Law Examination

2018-03-29
S63 Uniform Securities Agent State Law Examination

2012-07-09

Other Names

Diana Louise Torres
Diana Louise Buress

View on SEC IAPD