Diana Lopez is a registered investment advisor, based in Concord, NC, with 8 years of industry experience.
Location
5145 Poplar Tent Rd, Concord, NC, 28078
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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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Diana rents out her home, receiving rental income. This activity is not investment-related and requires minimal time.
Employment History
Current Registrations
Truist Investment Services, INC.
February 2021 - Present · 5 yrs 3 mos
Truist Advisory Services, INC.
February 2021 - Present · 5 yrs 3 mos
Truist Investment Services, INC.Broker
February 2021 - Present · 5 yrs 3 mos
Previous Registrations
Bb&t Securities, LLC
December 2019 - February 2021 · 1 yr 2 mos
Bb&t Securities, LLCBroker
May 2019 - February 2021 · 1 yr 9 mos
J.P. Morgan Securities LLCBroker
October 2017 - February 2019 · 1 yr 4 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.