Amy E Lopez

CRD 4689272 · J.P. Morgan Securities LLC · Irvine, CA

IA RegisteredBroker

Also appears in the source record as: Amy Ellen Lopez; Amy Lopez

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): SIESeries 7Series 10Series 9Series 63Series 66
Registered states (53): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 20
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 4689272 contains one or more disclosure events as of Aug 20, 2026.

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FINRA BrokerCheck ↗ · SEC IAPD ↗

Current firm

From the firm record

Firm: J.P. Morgan Securities LLC
Firm CRD: 79
SEC number: 801-3702
Assets under management: $429.7B as of Jun 30, 2026
Website: wealthpartners.jpmorgan.com ↗
Phone: 800-999-2000
Firm location: New York, NY, 10017

Employment history (12)

From the source registration record · current first

J.P. Morgan Securities LLCCurrent
Plantation, FL · IA capacity

start not retrieved → present
J.P. Morgan Securities LLCCurrent
Irvine, CA · BC capacity

start not retrieved → present
Chase Investment Services Corp.
Plantation, FL · IA capacity

May 1, 2012 → Oct 1, 2012
Chase Investment Services Corp.
Plantation, FL · BC capacity

Apr 26, 2012 → Oct 1, 2012
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Aventura, FL · IA capacity

Oct 5, 2011 → Mar 12, 2012
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Aventura, FL · BC capacity

Apr 5, 2011 → Mar 12, 2012
Soma Capital Management
Davie, FL · IA capacity

May 19, 2010 → Mar 10, 2011
Ubs Financial Services Inc.
Aventura, FL · IA capacity

Sep 8, 2006 → Jul 10, 2008
Ubs Financial Services Inc.
Aventura, FL · BC capacity

Aug 21, 2006 → Jul 10, 2008
Ameriprise Financial Services, Inc.
Plantation, FL · IA capacity

Oct 10, 2003 → Aug 10, 2006
Ameriprise Financial Services, Inc.
Plantation, FL · BC capacity

Sep 15, 2003 → Aug 10, 2006
Ids Life Insurance Company
Minneapolis, MN · BC capacity

Sep 15, 2003 → Jul 3, 2006

Source & corrections

Where this page comes from

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