EL
Enrique Lopez
ARKADIOS WEALTH ADVISORS
Mission, TX
Some features on this profile are disabled
CRD#: 2209385
EL
Professional summary
Enrique Lopez, who also goes by Rick Lopez, is a registered financial advisor currently at ARKADIOS WEALTH ADVISORS located in Mission, Texas and ARKADIOS CAPITAL located in Atlanta, Georgia.
Enrique is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Enrique has worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rick 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. 12/14/2011: CRISTOBAL EDEN PARTNERS, LLC - INVESTMENT RELATED - BUSINESS ENTITY FOR TAX/INVESTMENT PURPOSES ONLY - 0 HOURS/MONTH - HOLDING COMPANY CREATED FOR THE SOLE PURPOSE OF SEPARATING ASSETS AWAY FROM OUR PERSON. NO EMPLOYEES, NO OPERATING ACCOUNTS. FAMILY LIMITED PARTNERSHIP TO HOLD FAMILY ASSETS. 2. 12/30/2011: LOPEZ BROTHERS DISTRIBUTION, LLC - NOT INVESTMENT RELATED - OTHER-FAMILY BUSINESS - 5 HOURS/MONTH OUTSIDE OF SECURITIES TRADING HOURS- BATTERY DISTRIBUTION/WHOLESALE. OWNER - MANAGE OVERALL OPERATION DUTIES INCLUDE BUT NOT LIMITED TO EMPLOYMENT, GROWTH STRATEGIES, GOAL SETTING. 3. 04/12/2016; GALLOP INVESTMENT PARTNERS, LLC; Business Entity For Tax/Investment Purposes Only; NOT INVESTMENT RELATED; AT REPORTED BUSINESS LOCATION(S); START DATE 04/01/2016; BUY AND SELL "FLIP" REAL ESTATE; 5 HRS/MO; 0 HRS DURING SECURITIES TRADING HRS. 4. 9/13/2017 - Cordero Diego, LLC - Investment Related - Pharr, TX - Commercial Real Estate Rental Properties & other investment holdings - Started 09/27/2006 - 1 Hours Per Month - Rental income from leased commercial property. 5. Trivium Asset Management Partners, LLC, Investment related, 11743 Deepwater Ridge Way, Cypress TX 77433, Nature; Wealth Management, Started 1/11/2025, 160 hours/month, 1 hour/month during security trading hours. Business duty description: Group Shared Revenue.
CRS (Client Relationship Summary) - RIA
Click below to view Enrique 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
December 7, 2018 - Present
ARKADIOS WEALTH ADVISORS
RIA
CRD#: 288863
Mission, TX
Current
September 21, 2018 - Present
ARKADIOS CAPITAL
Office #1: 2827 Peachtree Rd Ne, Suite 510, Atlanta, GA 30305BD
CRD#: 282710
Atlanta, GA
Past
March 13, 2008 - August 8, 2018
LPL FINANCIAL LLC
RIA
CRD#: 6413
MCALLEN, TX
Past
March 13, 2008 - August 8, 2018
LPL FINANCIAL LLC
BD
CRD#: 6413
MCALLEN, TX
Past
May 28, 2003 - March 10, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
PHARR, TX
Past
May 22, 2003 - March 10, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
PHARR, TX
Past
June 3, 1999 - April 28, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
MCALLEN, TX
Past
March 29, 1999 - April 28, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
June 15, 1995 - May 30, 1996
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
Past
October 28, 1994 - April 21, 1995
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
DALLAS, TX
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".
AW
ARKADIOS WEALTH ADVISORS
1031 SOLUTIONS | ZIMCO CAPITAL | WHITESTONE WEALTH MANAGEMENT | WHEELER WEALTH | WEBB GARNER | WEALTHSTONE GROUP | WEALTH ARCHITECTS, INC. | TUCKER INVESTMENT COUNSEL | TNT FINANCIAL SERVICES, LLC | THOMPSON/PRATT CAPITAL MANAGEMENT LLC | THE OAK FINANCIAL GROUP | TEXAS REGIONAL BANK | TBAER WEALTH MANAGEMENT | STRIVE FINANCIAL | STEWARDSHIP WEALTH MANAGEMENT | SR BROWN FINANCIAL SERVICES | SOUTHPARK CAPITAL | SINCLAIR FINANCIAL | SHEPPARD MOSHER WEALTH MANAGEMENT | SELECT WEALTH ADVISORS LLC | SECURA WEALTH MANAGEMENT | RUSSELL TOTAL WEALTH AND WELLNESS | RIVERTAN FINANCIAL | REVOLUTION X | RESOURCE INVESTMENT ARCHITECTS | RBG CAPITAL | RANGER WEALTH | PROXIMITY FINANCIAL PARTNERS | PRESERVATION SPECIALISTS, LLC | PIEDMONT WEALTH PARTNERS | PERSONAL PORTFOLIOS | PERCH WEALTH | PEAK RETIREMENT GROUP | PARRY FINANCIAL ADVISORS | OAK FINANCIAL ADVISORS | NGC GLOBAL WEALTH MANAGEMENT | MOORE INVESTED | MONARCH CAPITAL ADVISORS | MCFARLIN CAPITAL, LLC | MATRIX WEALTH MANAGEMENT | KLESTINSKI RAPP MARMITT INVESTMENT COUNSEL | KINSHIP WEALTH PARTNERS | KG WEALTH | KEYSTONE CAPITAL PARTNERS GROUP | INTEGRITY FINANCIAL | HOLOS INTEGRATED WEALTH | HERITAGE PENSION ADVISORS | HARVEST WEALTH ADVISORS | GULF COAST WEALTH MANAGEMENT | GREGG LENTZ & ASSOCIATES | G.L. SMITH AND ASSOCIATES | FOUNDATION FINANCIAL GROUP | FORESIGHT FINANCIAL PARTNERS | EXCLUSIVE FINANCIAL RESOURCES | EXCLUSIVE ADVISORS LLC | EAST PACES GROUP | DOWNEAST PRIVATE WEALTH | CREATIVE CAPITAL WEALTH MANAGEMENT | CORBET CAPITAL | CLOVER CAPITAL PARTNERS | BOB BURKE FINANCIAL SERVICES | BLUECHIP WEALTH ADVISORS | BERG FINANCIALS | BANDER WEALTH MANAGEMENT | ARKADIOS WEALTH ADVISORS LLC | ARKADIOS WEALTH ADVISORS | AKERS FINANCIAL GROUP | AIM ADVISERS
CRD#: 288863 / SEC#: 801-110833
RIA
Registered Investment Advisory firm - (7/17/2017 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
Texas(9/25/2018)
IAR
Texas(12/7/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AW
ARKADIOS WEALTH ADVISORS
1031 SOLUTIONS | ZIMCO CAPITAL | WHITESTONE WEALTH MANAGEMENT | WHEELER WEALTH | WEBB GARNER | WEALTHSTONE GROUP | WEALTH ARCHITECTS, INC. | TUCKER INVESTMENT COUNSEL | TNT FINANCIAL SERVICES, LLC | THOMPSON/PRATT CAPITAL MANAGEMENT LLC | THE OAK FINANCIAL GROUP | TEXAS REGIONAL BANK | TBAER WEALTH MANAGEMENT | STRIVE FINANCIAL | STEWARDSHIP WEALTH MANAGEMENT | SR BROWN FINANCIAL SERVICES | SOUTHPARK CAPITAL | SINCLAIR FINANCIAL | SHEPPARD MOSHER WEALTH MANAGEMENT | SELECT WEALTH ADVISORS LLC | SECURA WEALTH MANAGEMENT | RUSSELL TOTAL WEALTH AND WELLNESS | RIVERTAN FINANCIAL | REVOLUTION X | RESOURCE INVESTMENT ARCHITECTS | RBG CAPITAL | RANGER WEALTH | PROXIMITY FINANCIAL PARTNERS | PRESERVATION SPECIALISTS, LLC | PIEDMONT WEALTH PARTNERS | PERSONAL PORTFOLIOS | PERCH WEALTH | PEAK RETIREMENT GROUP | PARRY FINANCIAL ADVISORS | OAK FINANCIAL ADVISORS | NGC GLOBAL WEALTH MANAGEMENT | MOORE INVESTED | MONARCH CAPITAL ADVISORS | MCFARLIN CAPITAL, LLC | MATRIX WEALTH MANAGEMENT | KLESTINSKI RAPP MARMITT INVESTMENT COUNSEL | KINSHIP WEALTH PARTNERS | KG WEALTH | KEYSTONE CAPITAL PARTNERS GROUP | INTEGRITY FINANCIAL | HOLOS INTEGRATED WEALTH | HERITAGE PENSION ADVISORS | HARVEST WEALTH ADVISORS | GULF COAST WEALTH MANAGEMENT | GREGG LENTZ & ASSOCIATES | G.L. SMITH AND ASSOCIATES | FOUNDATION FINANCIAL GROUP | FORESIGHT FINANCIAL PARTNERS | EXCLUSIVE FINANCIAL RESOURCES | EXCLUSIVE ADVISORS LLC | EAST PACES GROUP | DOWNEAST PRIVATE WEALTH | CREATIVE CAPITAL WEALTH MANAGEMENT | CORBET CAPITAL | CLOVER CAPITAL PARTNERS | BOB BURKE FINANCIAL SERVICES | BLUECHIP WEALTH ADVISORS | BERG FINANCIALS | BANDER WEALTH MANAGEMENT | ARKADIOS WEALTH ADVISORS LLC | ARKADIOS WEALTH ADVISORS | AKERS FINANCIAL GROUP | AIM ADVISERS
CRD#: 288863 / SEC#: 801-110833
RIA
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Contact information
Main Address
2827 Peachtree Rd Ne, Suite 510, Atlanta, GA 30305
Mailing Address
Phone number
(404) 445-0035
Established
Firm type
Fiscal year end
# of Employees
188
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12,091 |
| AUM (Assets Under Management) | $ 3,856,398,203 |
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.
