Steven R. Lopez
STRATEGIC ADVISERS LLC | Financial Consultant
MONROVIA, CA
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CRD#: 2165476
Professional summary
Steven R. Lopez, CFP®, who also goes by Steven Robert Lopez, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Monrovia, California and FIDELITY BROKERAGE SERVICES LLC located in Rancho Cucamonga, California.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Steven has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 8 exams.
Biography
As a Financial Consultant and CERTIFIED FINANCIAL PLANNER™, my focus is on helping my clients live their lives with a minimum of financial worry. My individualized approach centers on getting to know you and what matters most to you, then working together in developing a financial plan specific to the lifestyle you envision so that you can feel more confident about your financial future at any stage of life.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steven Robert 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Steven R. 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®
Education
California Poly State University
Bachelor of Science (BS) - Business Finance
1991
Experience
Current
March 31, 2025 - Present
STRATEGIC ADVISERS LLC
Office #2: 7310 Day Creek Blvd, Rancho Cucamonga, CA 91739-8035RIA
CRD#: 104555
MONROVIA, CA
Current
June 9, 2020 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 7310 Day Creek Blvd., Rancho Cucamonga, CA 91739BD
CRD#: 7784
Rancho Cucamonga, CA
Past
June 25, 2020 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
RANCHO CUCAMONGA, CA
Past
July 31, 2013 - May 30, 2020
TD AMERITRADE, INC.
RIA
CRD#: 7870
PASADENA, CA
Past
July 31, 2013 - May 30, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
PASADENA, CA
Past
July 2, 2013 - May 30, 2020
TD AMERITRADE, INC.
BD
CRD#: 7870
PASADENA, CA
Past
July 12, 1999 - September 29, 1999
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Past
July 19, 1995 - July 12, 1999
BA INVESTMENT SERVICES, INC.
BD
CRD#: 12965
OAKLAND, CA
Past
June 25, 1993 - March 14, 1994
ROBERTSON, STEPHENS & COMPANY LLC
BD
CRD#: 7730
SAN FRANCISCO, CA
Past
July 1, 1992 - June 8, 1993
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
August 26, 1991 - September 9, 1991
F.N. WOLF & CO., INC.
BD
CRD#: 13051
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".
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 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
Arizona(6/9/2020)
RR
Arkansas(5/3/2024)
RR
California(6/9/2020)
IAR
California(3/31/2025)
RR
Colorado(5/6/2022)
RR
Idaho(7/3/2025)
RR
Illinois(5/3/2024)
RR
Michigan(7/19/2024)
RR
Montana(7/3/2025)
RR
Nevada(6/9/2020)
RR
New York(5/15/2023)
RR
Oregon(12/7/2022)
RR
Pennsylvania(1/4/2025)
RR
Tennessee(6/30/2023)
RR
Texas(6/9/2020)
IAR
Texas(3/31/2025)
RR
Utah(2/12/2021)
RR
Vermont(7/3/2025)
RR
Washington(9/8/2023)
RR
Wisconsin(9/9/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 8
Date: 3/29/1996
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange
Current Firm
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
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Contact information
Main Address
155 Seaport Blvd, Boston, MA 02210-2698
Mailing Address
Phone number
(617) 563-7000
Established
Firm type
Fiscal year end
# of Employees
16,291
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
STRATEGIC ADVISERS LLC
Financial ConsultantCRD#: 104555Monrovia, CATRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
