Harvey R. Lopez

CETERA INVESTMENT ADVISERS LLC

EDINBURG, TX

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CRD#: 2720593

Professional summary

Harvey Rodriguez Lopez, who also goes by Harvey Lopez, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Edinburg, Texas and CETERA INVESTMENT SERVICES LLC located in Edinburg, Texas.

Harvey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Harvey has worked at 12 firms and has passed the Series 65, Series 63, Series 82TO, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Harvey 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. SALE OF FIXED INSURANCE AND GROUP BENEFITS OUTSIDE OF CETERA; CONTRACTS WITH OHIO NATIONAL, PENN MUTUAL, THE STANDARD, PRINCIPAL, AND MUTUAL OF OMAHA; CONTRACT WITH INSURANCE BROKER ORG CORP

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Harvey Rodriguez Lopez's CRS (Customer Relationship Summary).

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®

None

Experience

Current

April 25, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

EDINBURG, TX

Current

April 21, 2023 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 2721 Fountain Plaza Blvd Suite A, Edinburg, TX 78539

CRD#: 15340

EDINBURG, TX

Past

August 21, 2012 - May 2, 2023

LPL FINANCIAL LLC

RIA

CRD#: 6413

EDINBURG, TX

Past

August 21, 2012 - May 2, 2023

LPL FINANCIAL LLC

CRD#: 6413

EDINBURG, TX

Past

October 15, 2010 - August 22, 2012

PNC MANAGED ACCOUNT SOLUTIONS, INC.

RIA

CRD#: 110476

HOUSTON, TX

Past

September 22, 2010 - October 15, 2010

ST JOHNS WEALTH MANAGEMENT

RIA

CRD#: 105564

WESLACO, TX

Past

August 12, 2010 - August 22, 2012

BBVA COMPASS INVESTMENT SOLUTIONS, INC

CRD#: 17086

MERCEDES, TX

Past

September 7, 2006 - July 30, 2010

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

MCALLEN, TX

Past

June 22, 2006 - July 30, 2010

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

MCALLEN, TX

Past

June 8, 2004 - June 13, 2006

CAPITAL ONE INVESTMENTS, LLC

CRD#: 17526

HARLINGEN, TX

Past

April 25, 2001 - June 3, 2004

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

Past

January 24, 2000 - May 1, 2001

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

January 24, 2000 - May 1, 2001

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

January 1, 1997 - December 31, 1998

WMA SECURITIES, INC.

CRD#: 32625

DULUTH, GA

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

South Carolina
(8/13/2024)

Tennessee
(7/27/2023)

Texas
(4/25/2023)

IAR

Texas
(4/25/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/14/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/11/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 82TO

Date: 4/21/2023

Limited Representative-Private Securities Offerings

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/18/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/26/1996

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/22/2007

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Firm Stability Insights

Harvey R. Lopez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Harvey Rodriguez Lopez's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

PNC MANAGED ACCOUNT SOLUTIONS, INC.

ST JOHNS WEALTH MANAGEMENT

BBVA COMPASS INVESTMENT SOLUTIONS, INC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

CAPITAL ONE INVESTMENTS, LLC

IFMG SECURITIES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

WMA SECURITIES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/14/2006

Series 63

Date: 10/11/1996

Series 82TO

Date: 4/21/2023

SIE

Date: 10/1/2018

Series 7

Date: 4/18/2005

Series 6

Date: 12/26/1996

Series 24

Date: 10/22/2007

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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