ML
Maximo N. Lopez
VALIC FINANCIAL ADVISORS
Houston, TX 77019
Some features on this profile are disabled
CRD#: 1519497
ML
Professional summary
Maximo None Lopez, who also goes by Max Lopez, Maximo None Lopez, is a registered financial advisor currently at VALIC FINANCIAL ADVISORS, INC. located in Houston, Texas.
Maximo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Maximo has worked at 9 firms and has passed the Series 63, Series 65, Series 66, Series 7TO, Series 6TO, SIE, Series 7, Series 3 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Max Lopez | Maximo None 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.
RENEWAL COMMISSIONS POSITION: Agent NATURE: Renewal Commissions only INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 06/11/2020 ADDRESS: 17938 Windy Canyon Ln, Houston TX 77084, United States DESCRIPTION: No Activities. This is receipt of renewal commissions only AGIA POSITION: Agent NATURE: null INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 12/17/2022 ADDRESS: 2929 Allen Parkway, Houston TX 77019, United States DESCRIPTION: Non-Securities Insurance Products MUTUAL OF OMAHA POSITION: AGENT NATURE: RECEIVING ONLY RENEWAL COMMISSIONS FROM TRANSAMERICA HEALTH PLAN, GAP FROM HEALTH PLANFOR "SID ACHARYA CARDIOLOGY PLLC" RELATED TO THEIR EMPLOYEE HEALTH INSURANCE PLAN WHICH I NO LONGER SERVICE. I ONLY RECEIVE THE RENEWAL COMMISSIONS FROM WHEN I WAS IN THE HEALTH BENEFITS BUSINESS. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 06/11/2020 ADDRESS: 17938 WINDY CANYON LN, HOUSTON TX 77084, United States DESCRIPTION: RECEIVING RENEWAL COMMISSIONS FROM TRANSAMERICA GAP PLAN FOR "SID ACHARYA CARDIOLOGY PLLC" RELATED TO THEIR EMPLOYEE HEALTH INSURANCE PLAN WHICH I NO LONGER SERVICE.I ONLY RECEIVE THE RENEWAL COMMISSIONS FROM WHEN I WAS IN THE HEALTH BENEFITS BUSINESS TOASTMASTERS MEMBERSHIP POSITION: member and area director NATURE: Toastmasters is a nonprofit educational organization that builds confidence and teaches public speaking skills through a network of clubs that meet online and in person. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 12/01/2006 ADDRESS: 17938 Windy Canyon Lane, Houston TX 77084, United States DESCRIPTION: As a club member my role is to participate in club meetings including sometimes leading the meetings and giving speeches to learn and build public speaking skills. My role as area director is to mentor club members and club officers in a selected group of clubs here in Houston. I am also assisting club officers and member in organizing club and area speaking contests.
CRS (Client Relationship Summary) - RIA
Click below to view Maximo None Lopez's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Maximo None 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
September 7, 2022 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 2919 Allen Parkway 9th Floor - Retirement Education Center, Houston, TX 77019RIA
BD
CRD#: 42803
Houston, TX
Current
September 7, 2022 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 2919 Allen Parkway 9th Floor - Retirement Education Center, Houston, TX 77019RIA
BD
CRD#: 42803
Houston, TX
Past
May 28, 2020 - September 6, 2022
ALLSTATE FINANCIAL ADVISORS, LLC
RIA
CRD#: 109524
Katy, TX
Past
May 28, 2020 - September 6, 2022
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
Katy, TX
Past
July 3, 2019 - April 13, 2020
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
RIA
CRD#: 611
HOUSTON, TX
Past
November 21, 2008 - January 26, 2009
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
LAKE OSWEGO, OR
Past
November 19, 2007 - October 16, 2008
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
ALOHA, OR
Past
November 16, 2007 - October 16, 2008
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
ALOHA, OR
Past
September 4, 2006 - September 19, 2007
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
PORTLAND, OR
Past
June 14, 2002 - September 13, 2002
CELADON FINANCIAL GROUP LLC
BD
CRD#: 36538
MORRISTOWN, NJ
Past
August 7, 1990 - July 13, 2000
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
Past
July 28, 1986 - August 3, 1990
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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".
VF
VALIC FINANCIAL ADVISORS, INC.
AIG RETIREMENT ADVISORS, INC. | VALIC INVESTMENT SERVICES COMPANY | VALIC FINANCIAL ADVISORS, INC. | COREBRIDGE FINANCIAL | AMERICAN GENERAL FINANCIAL ADVISORS, INC. | AIG RETIREMENT SERVICES
CRD#: 42803 / SEC#: 801-54952, 8-50018
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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
Alabama(5/24/2023)
IAR
Alabama(5/25/2023)
RR
Alaska(5/30/2023)
IAR
Alaska(6/7/2023)
RR
Arizona(12/19/2022)
IAR
Arizona(12/20/2022)
RR
Arkansas(12/20/2022)
IAR
Arkansas(12/20/2022)
RR
California(5/24/2023)
IAR
California(5/24/2023)
RR
Colorado(12/19/2022)
IAR
Colorado(12/19/2022)
RR
Connecticut(5/24/2023)
IAR
Connecticut(5/24/2023)
RR
Delaware(6/2/2023)
IAR
Delaware(6/2/2023)
RR
District of Columbia(5/25/2023)
IAR
District of Columbia(6/8/2023)
RR
Florida(12/19/2022)
IAR
Florida(12/19/2022)
RR
Georgia(5/26/2023)
IAR
Georgia(5/26/2023)
RR
Hawaii(5/25/2023)
IAR
Hawaii(5/25/2023)
RR
Idaho(5/24/2023)
IAR
Idaho(5/24/2023)
RR
Illinois(6/1/2023)
IAR
Illinois(6/1/2023)
RR
Indiana(5/25/2023)
IAR
Indiana(5/30/2023)
RR
Iowa(12/19/2022)
IAR
Iowa(12/19/2022)
RR
Kansas(12/16/2022)
IAR
Kansas(12/16/2022)
RR
Kentucky(5/25/2023)
IAR
Kentucky(5/25/2023)
RR
Louisiana(12/20/2022)
IAR
Louisiana(12/20/2022)
RR
Maine(5/24/2023)
IAR
Maine(5/25/2023)
RR
Maryland(5/25/2023)
IAR
Maryland(5/25/2023)
RR
Massachusetts(6/21/2023)
IAR
Massachusetts(6/21/2023)
RR
Michigan(5/26/2023)
IAR
Michigan(5/26/2023)
RR
Minnesota(5/30/2023)
IAR
Minnesota(5/30/2023)
RR
Mississippi(12/21/2022)
IAR
Mississippi(12/21/2022)
RR
Missouri(12/19/2022)
IAR
Missouri(12/19/2022)
IAR
Montana(5/31/2023)
RR
Montana(6/5/2023)
RR
Nebraska(12/16/2022)
IAR
Nebraska(1/23/2023)
IAR
Nevada(12/21/2022)
RR
Nevada(1/6/2023)
RR
New Hampshire(5/25/2023)
IAR
New Hampshire(5/30/2023)
RR
New Jersey(5/24/2023)
IAR
New Jersey(5/24/2023)
RR
New Mexico(12/19/2022)
IAR
New Mexico(12/19/2022)
IAR
New York(5/24/2023)
RR
New York(5/28/2023)
RR
North Carolina(5/25/2023)
IAR
North Carolina(6/1/2023)
RR
North Dakota(5/30/2023)
IAR
North Dakota(5/30/2023)
RR
Ohio(5/24/2023)
IAR
Ohio(5/25/2023)
RR
Oklahoma(12/20/2022)
IAR
Oklahoma(1/4/2023)
RR
Oregon(5/30/2023)
IAR
Oregon(5/30/2023)
RR
Pennsylvania(5/25/2023)
IAR
Pennsylvania(5/25/2023)
RR
Rhode Island(5/25/2023)
IAR
Rhode Island(5/25/2023)
RR
South Carolina(5/26/2023)
IAR
South Carolina(5/26/2023)
RR
South Dakota(5/30/2023)
IAR
South Dakota(5/30/2023)
RR
Tennessee(5/24/2023)
RR
Texas(9/7/2022)
IAR
Texas(9/7/2022)
RR
Utah(12/19/2022)
IAR
Utah(12/19/2022)
RR
Vermont(5/24/2023)
IAR
Vermont(5/25/2023)
RR
Virginia(5/25/2023)
IAR
Virginia(5/25/2023)
RR
Washington(5/31/2023)
IAR
Washington(5/31/2023)
RR
West Virginia(5/25/2023)
IAR
West Virginia(5/26/2023)
RR
Wisconsin(5/25/2023)
IAR
Wisconsin(5/25/2023)
IAR
Wyoming(12/20/2022)
RR
Wyoming(1/4/2023)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/20/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 5/28/2020
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
VF
VALIC FINANCIAL ADVISORS, INC.
AIG RETIREMENT ADVISORS, INC. | VALIC INVESTMENT SERVICES COMPANY | VALIC FINANCIAL ADVISORS, INC. | COREBRIDGE FINANCIAL | AMERICAN GENERAL FINANCIAL ADVISORS, INC. | AIG RETIREMENT SERVICES
CRD#: 42803 / SEC#: 801-54952, 8-50018
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
2919 Allen Parkway L3-20, Houston, TX 77019
Mailing Address
2919 Allen Parkway L3-20, Houston, TX 77019-2158
Phone number
(866) 544-4968
Established
Texas since 11/18/1996
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,633
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VARIABLE ANNUITY LIFE INSURANCE COMPANY | DIRECT OWNER | |
| BURNETTE, CYNTHIA LEA | CHIEF FINANCIAL OFFICER AND TREASURER | 1863103 |
| FORTEY, MICHAEL | VFA CHIEF COMPLIANCE OFFICER BROKER DEALER | 2304969 |
| GIBSON, KRISTA DE LOIS | PRESIDENT; SVP, HEAD OF PRODUCT & ADVISORY SERVICES | 2348708 |
| JOE, CHRISTOPHER CHUCK | VFA CHIEF COMPLIANCE OFFICER INVESTMENT ADVISOR | 2373056 |
| LOGAN, JOHN ALBERT | CHIEF OPERATIONS OFFICER | 4378887 |
| MARCIEL-CARR, THERESA H | VICE PRESIDENT, FIELD SUPERVISION | 5428259 |
| NORRIS, JOHN ERIK | SECRETARY | 8188573 |
| RINK, VERONICA LYNETTE | VICE PRESIDENT, BUSINESS ADMINISTRATION | 4724432 |
Regulatory assets under management
| Total Number of Accounts | 293,993 |
| AUM (Assets Under Management) | $ 26,372,603,709 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2025 | ||
| 01/27/2025 | ||
| 04/29/2024 | ||
| 04/28/2023 |
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.
