Jesus A. Lopez
Professional summary
Jesus Alvarez Lopez, who also goes by Jesus A Lopez, is a registered financial professional currently at CENTAURUS FINANCIAL, INC. located in Woodland Hills, California.
Jesus is registered as a RR (Registered Representative) and started their career in finance in 1999. Jesus has worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jesus Alvarez Lopez's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 10, 2020 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 5341 Alhama Drive Suite #4, Woodland Hills, CA 91364March 1, 2019 - February 13, 2020
WOODBURY FINANCIAL SERVICES, INC.
October 28, 2016 - March 1, 2019
QUESTAR CAPITAL CORPORATION
March 6, 2015 - November 3, 2016
VOYA FINANCIAL ADVISORS, INC.
May 18, 2012 - March 12, 2015
INVESTORS CAPITAL CORP.
September 24, 2007 - May 25, 2012
LPL FINANCIAL LLC
April 11, 2005 - September 13, 2007
SECU BROKERAGE SERVICES
September 23, 2003 - March 4, 2005
ESSEX NATIONAL SECURITIES, LLC
February 5, 2003 - August 27, 2003
CITICORP INVESTMENT SERVICES
April 7, 1999 - February 5, 2003
CAL FED INVESTMENTS
Primary Firm SEC Registration
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/10/2020)
(2/10/2020)
(2/10/2020)
(9/11/2024)
(2/10/2020)
(2/10/2020)
(8/4/2020)
(11/9/2023)
(2/10/2020)
Exams
FINRA
Current Firm
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FEDERATION OF FINANCIAL SERVICES | OWNER | |
| KREMER, STEPHEN MARK | OWNER | 1188829 |
| RUBINO, MICHAEL PETER | OWNER | 1188940 |
| DUHOVIC, JEROME VICTOR | DIRECTOR/EVP/CHIEF ADMINISTRATIVE OFFICER | 2123754 |
| DUHOVIC, JEROME VICTOR | CHIEF COMPLIANCE OFFICER | 2123754 |
| KING, JAMES RONALD SR | DIRECTOR/CHAIRMAN OF THE BOARD/CEO | 269927 |
| KING, PAUL J | DIRECTOR/GENERAL COUNSEL | 5017845 |
| KING, WESTLEY HAYES | DIRECTOR/PRESIDENT | 2527676 |
| LEJMAN, SHERI J | CFO/SVP/PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER |
Regulatory assets under management
| Total Number of Accounts | 38,049 |
| AUM (Assets Under Management) | $ 7,336,108,151 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 8 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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