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Nathaniel Adam Lopez

Morgan Stanley

San Rafael, CA

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2020-04-08
CA RA APPROVED 2019-07-16
  • TX RA
    APPROVED
    Since 2020-04-08
  • CA RA
    APPROVED
    Since 2019-07-16

Branch Locations

1101 5Th Avenue Suite 275, San Rafael, CA 94901 • 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
Northwestern Mutual Investment Services Llc San Francisco CA 10/2017 08/2018
University Of The Pacific Stockton CA 08/2015 05/2017
Northwestern Mutual Life Insurance Company Milwaukee WI 08/2017 08/2018
Morgan Stanley San Rafael CA 11/2018 Present
  • 10/2017 → 08/2018
    Northwestern Mutual Investment Services Llc
    San Francisco, CA
  • 08/2015 → 05/2017
    University Of The Pacific
    Stockton, CA
  • 08/2017 → 08/2018
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 11/2018 → Present
    Morgan Stanley
    San Rafael, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-07-16
S63 Uniform Securities Agent State Law Examination 2018-02-02
  • S65 Uniform Investment Adviser Law Examination
    2019-07-16
  • S63 Uniform Securities Agent State Law Examination
    2018-02-02
Other Names
  • Nate Lopez

View on SEC IAPD

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MADRONE INVESTMENT ADVISORY, LLC
FIDUCIARY FINANCIAL GROUP, LLC
INDEPENDENT FINANCIAL GROUP, LLC
EDWARD JONES
HUTCHINSON & ZIEGLER FINANCIAL ADVISORS, INC.

Other Investors

MATTHEW AARON HODUS
KENNETH LAURANZANO
Michael J Heckmann
Alexander Joel Heckmann
Peter Albert Goudy
CATHERINE B CHOI
COLIN Edward Austin WELLS
JEFFREY JAMES WELLS

Other Offices

STIFEL, NICOLAUS & COMPANY, INCORPORATED · SAN RAFAEL, CA
HCM WEALTH · SAN RAFAEL, CA
O'DONNELL FINANCIAL SERVICES, LLC · SAN RAFAEL, CA
MADRONE INVESTMENT ADVISORY, LLC · SAN RAFAEL, CA
FIDUCIARY FINANCIAL GROUP, LLC · SAN RAFAEL, CA
INDEPENDENT FINANCIAL GROUP, LLC · San Rafael, CA
EDWARD JONES · San Rafael, CA
HUTCHINSON & ZIEGLER FINANCIAL ADVISORS, INC. · SAN RAFAEL, CA

More in San Rafael, CA

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