Brian Lopez is a registered investment advisor, based in Boston, MA, with 28 years of industry experience.
Location
100 Federal Street, 37th Floor, Boston, MA, 02110
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Brian serves as trustee for a two-unit condo development in Waltham, MA, since 2009. This activity requires minimal time and is not investment-related.
Employment History
Current Registrations
Cibc World Markets CORP.Broker
December 2023 - Present · 2 yrs 4 mos
Cibc World Markets CORP.
December 2023 - Present · 2 yrs 4 mos
Cibc Private Wealth Advisors, INC.
November 2023 - Present · 2 yrs 5 mos
Previous Registrations
Svb Wealth
April 2015 - September 2023 · 8 yrs 5 mos
Sentinel Pension Advisors INC
February 2010 - March 2015 · 5 yrs 1 mo
Sentinel Securities, INC.Broker
September 2009 - March 2015 · 5 yrs 6 mos
Fidelity Brokerage Services LLCBroker
January 2008 - September 2009 · 1 yr 8 mos
Fidelity Investments Institutional Services Company, INC.Broker
October 2006 - January 2008 · 1 yr 3 mos
Strategic Advisers, INC.
October 2000 - September 2007 · 6 yrs 11 mos
Fidelity Brokerage Services LLCBroker
July 2000 - October 2006 · 6 yrs 3 mos
Fidelity Investments Institutional Services Company, INC.Broker
March 1997 - July 2000 · 3 yrs 4 mos
State Registrations1 state
MA
Advisor
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Exams
No exam information available for this advisor.