JL
Jose A. Lopez
CETERA INVESTMENT ADVISERS LLC
OAK BROOK, IL 60523
Some features on this profile are disabled
CRD#: 1474666
JL
Professional summary
Jose Antonio Lopez, who also goes by Jose A Lopez, Jose Anthony Lopez, Jose Antonio Lopez Jr, Tony A Lopez, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Oak Brook, Illinois and CETERA WEALTH SERVICES, LLC located in Oak Brook, Illinois.
Jose is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Jose has worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jose A Lopez | Jose Anthony Lopez | Jose Antonio Lopez Jr | Tony A Lopez
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. FIXED INSURANCE - LIFE, HEALTH, DISABILITY, ANNUITIES, LONG-TERM CARE. 2. NAME OF OTHER BUSINESS: LOPEZ FINANCIAL ADVISORS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 01/2019 POSITION/TITLE/RELATIONSHIP: REGISTERED REPRESENTATIVE APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES ; 3. NAME OF OTHER BUSINESS: FBI-CHICAGO CITIZENS ACADEMY ALUMNI ASSOC.; INVESTMENT RELATED: NO ADDRESS: 2111 W. ROOSEVELT RD, CHICAGO IL 60608 ; NATURE OF BUSINESS: NON-PROFIT ; START DATE: 12/2022; POSITION/TITLE/RELATIONSHIP: PRESIDENT ; APX NUMBER OF HOURS PER WEEK: 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1 ; BRIEF DESCRIPTION OF DUTIES: PROVIDE LEADERSHIP AND GUIDANCE TO CARRY OUT STATED MISSION; 4. NAME OF OTHER BUSINESS: VARIOUS MORTGAGE LENDERS ; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: MORTGAGE LENDING ; START DATE: 08/2019 ; POSITION/TITLE/RELATIONSHIP: CLIENT ASSISTANT ; APX NUMBER OF HOURS PER WEEK: LESS THAN 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1 ; BRIEF DESCRIPTION OF DUTIES: VALUE ADDED SERVICE PROVIDED TO CLIENTS ; 5. NAME OF OTHER BUSINESS: ROOTS AND WINGS - ALAS Y RAICES; INVESTMENT RELATED: NO; ADDRESS: 302 GREEN ST, BENSENVILLE, IL 60101; NATURE OF BUSINESS: BOARD OF DIRECTORS; START DATE: 09/2022; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1-2; APX NUMBER OF HOURS DURING TRADING HOURS: 1-2; BRIEF DESCRIPTION OF DUTIES: BOARD MEMBER WITH VOTING RIGHTS. SET DIRECTION AND CARRY OUT DUTIES IN ORDER TO FULFILL THE MISSION OF THE ORGANIZATION WHICH OFFERS PROGRAMS & SERVICES TO UNDOCUMENTED FOREIGN INDIVIDUALS;
CRS (Client Relationship Summary) - RIA
Click below to view Jose Antonio Lopez's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 15, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1200 Harger Road Ste 222, Oak Brook, IL 60523RIA
CRD#: 105644
OAK BROOK, IL
Current
October 19, 2009 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1200 Harger Road Suite 711, Oak Brook, IL 60523BD
CRD#: 13572
Oak Brook, IL
Past
November 12, 2009 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
WOODRIDGE, IL
Past
October 22, 2008 - October 20, 2009
WRP INVESTMENTS, INC.
BD
CRD#: 7365
DARIEN, IL
Past
December 3, 2001 - October 22, 2008
OBERWEIS SECURITIES, INC.
BD
CRD#: 42060
DARIEN, IL
Past
July 2, 1998 - November 30, 2001
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LAVISTA, NE
Past
March 28, 1998 - June 16, 1998
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
BD
CRD#: 13609
CEDAR RAPIDS, IA
Past
September 26, 1996 - March 28, 1998
ADM SECURITIES, INC.
BD
CRD#: 31973
CHICAGO, IL
Past
April 12, 1995 - October 1, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
January 3, 1991 - March 30, 1995
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
January 3, 1991 - March 30, 1995
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
April 25, 1990 - July 3, 1990
KETTLER & COMPANY
BD
CRD#: 10530
CHICAGO, IL
Past
March 10, 1987 - December 21, 1988
GRAYSTONE NASH, INC.
BD
CRD#: 10635
Past
January 2, 1987 - March 6, 1987
J. W. GANT & ASSOCIATES, INC.
BD
CRD#: 7963
Past
March 19, 1986 - January 2, 1987
MICHELIN AND COMPANY, INC.
BD
CRD#: 14447
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(11/21/2016)
RR
Colorado(12/3/2024)
RR
Florida(6/30/2017)
RR
Georgia(1/4/2022)
RR
Hawaii(9/10/2025)
RR
Illinois(10/19/2009)
IAR
Illinois(3/17/2023)
RR
Louisiana(7/26/2024)
RR
Massachusetts(10/20/2009)
RR
Michigan(1/4/2023)
RR
Minnesota(3/3/2016)
RR
New Jersey(3/25/2019)
RR
New Mexico(7/10/2017)
RR
New York(4/18/2021)
RR
Oklahoma(1/2/2025)
RR
Pennsylvania(1/22/2016)
RR
Texas(1/4/2022)
IAR
Texas(3/15/2023)
RR
Virginia(1/4/2023)
RR
Washington(11/13/2009)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
