David A. Lopez
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David Arthur Lopez, who also goes by Dave Lopez, David A Lopez, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1991. David had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 19, 2023 - December 3, 2025
LPL FINANCIAL LLC
July 19, 2023 - December 3, 2025
LPL FINANCIAL LLC
January 4, 2008 - July 19, 2023
BANCWEST INVESTMENT SERVICES, INC.
November 12, 2003 - July 19, 2023
BANCWEST INVESTMENT SERVICES, INC.
April 17, 2003 - November 13, 2003
LPL FINANCIAL LLC
February 5, 2003 - March 25, 2003
CITICORP INVESTMENT SERVICES
November 30, 1999 - February 5, 2003
CAL FED INVESTMENTS
March 3, 1999 - December 2, 1999
GUARANTY BROKERAGE SERVICES, INC.
November 14, 1998 - March 19, 1999
CAL FED INVESTMENTS
August 18, 1994 - November 14, 1998
GLENFED BROKERAGE SERVICES
June 6, 1994 - August 5, 1994
GUARANTY BROKERAGE SERVICES, INC.
August 14, 1992 - June 6, 1994
AMERICAN GENERAL SECURITIES INCORPORATED
July 29, 1992 - August 31, 1992
CAPITAL BROKERAGE CORPORATION
February 22, 1991 - August 3, 1992
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
February 22, 1991 - August 3, 1992
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 214 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
