LL
Libardo Lopez
PFS INVESTMENTS
Lawrenceville, GA 30044
Some features on this profile are disabled
CRD#: 3158585
LL
Professional summary
Libardo Lopez, who also goes by Jr Lopez, Libardo Lopez Jr, Libardo Lopez Jr, Libardo Lopez, is a registered financial advisor currently at PFS INVESTMENTS INC. located in Lawrenceville, Georgia.
Libardo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Libardo has worked at 9 firms and has passed the Series 66, Series 6TO, SIE, Series 7 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jr Lopez | Libardo Lopez Jr | Libardo Lopez Jr | Libardo 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.
Management/Operations of investment-related products
CRS (Client Relationship Summary) - RIA
Click below to view Libardo Lopez's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Libardo 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
February 24, 2022 - Present
PFS INVESTMENTS INC.
Office #1: 2211 Old Norcross Rd Ste C-3-c, Lawrenceville, GA 30044RIA
BD
CRD#: 10111
Lawrenceville, GA
Current
February 23, 2022 - Present
PFS INVESTMENTS INC.
Office #1: 2211 Old Norcross Rd Ste C-3-c, Lawrenceville, GA 30044RIA
BD
CRD#: 10111
Lawrenceville, GA
Past
January 7, 2022 - February 14, 2022
PFS INVESTMENTS INC.
RIA
CRD#: 10111
DULUTH, GA
Past
January 5, 2022 - February 14, 2022
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
Past
December 6, 2017 - December 31, 2021
PFS INVESTMENTS INC.
RIA
CRD#: 10111
DULUTH, GA
Past
October 26, 2017 - December 31, 2021
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
Past
March 10, 2014 - January 18, 2017
ANTHEM SECURITIES, INC.
BD
CRD#: 42420
Peachtree Corners, GA
Past
August 8, 2011 - March 7, 2014
PFS INVESTMENTS INC.
RIA
CRD#: 10111
DULUTH, GA
Past
February 16, 2011 - March 7, 2014
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
Past
December 23, 2009 - August 31, 2010
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
ALPHARETTA, GA
Past
March 18, 2008 - November 23, 2009
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
GAINESVILLE, GA
Past
March 12, 2008 - November 23, 2009
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
GAINESVILLE, GA
Past
December 18, 2007 - March 4, 2008
E*TRADE SECURITIES LLC
BD
CRD#: 29106
ALPHARETTA, GA
Past
October 18, 2007 - December 14, 2007
GUNNALLEN FINANCIAL, INC
RIA
CRD#: 17609
SUWANEE, GA
Past
October 8, 2007 - December 14, 2007
GUNNALLEN FINANCIAL, INC
BD
CRD#: 17609
SUWANEE, GA
Past
December 19, 2005 - May 8, 2007
CLEARBRIDGE INVESTMENTS, LLC
RIA
CRD#: 137028
NEW YORK, NY
Past
December 1, 2005 - May 8, 2007
FRANKLIN DISTRIBUTORS, LLC
BD
CRD#: 109064
STAMFORD, CT
Past
January 13, 2004 - December 19, 2005
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
STAMFORD, CT
Past
January 15, 2003 - December 1, 2005
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
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".
PI
PFS INVESTMENTS INC.
BLUE MOUNTAIN FINANCIAL GROUP | TORCHLIGHT FINANCIAL GROUP | SWOPE FINANCIAL PARTNERS | SHEPPARD FINANCIAL GROUP | PRIMEVISION FINANCIAL GROUP | PRIMERICA ADVISORS | PFS INVESTMENTS INC. | NEWMAN FINANCIAL GROUP | LOE FINANICAL GROUP | LASHNER FINANCIAL GROUP | LANDMARK FINANCIAL GROUP | KELLER FINANCIAL ASSOCIATES | FIRST AMERICAN NATIONAL SECURITIES, INC. | E.H.R. FINANCIAL GROUP | DRAKE FINANCIAL GROUP | DIEHL FINANCIAL GROUP | DEEVERS AND SONS | CMJ FINANCIAL GROUP | CASTLEROCK FINANCIAL GROUP | BOHANNAN FINANCIAL
CRD#: 10111 / SEC#: 801-72263, 8-26486
RIA
Registered Investment Advisory firm - SEC (5/6/2011 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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
Georgia(2/23/2022)
IAR
Georgia(2/24/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PI
PFS INVESTMENTS INC.
BLUE MOUNTAIN FINANCIAL GROUP | TORCHLIGHT FINANCIAL GROUP | SWOPE FINANCIAL PARTNERS | SHEPPARD FINANCIAL GROUP | PRIMEVISION FINANCIAL GROUP | PRIMERICA ADVISORS | PFS INVESTMENTS INC. | NEWMAN FINANCIAL GROUP | LOE FINANICAL GROUP | LASHNER FINANCIAL GROUP | LANDMARK FINANCIAL GROUP | KELLER FINANCIAL ASSOCIATES | FIRST AMERICAN NATIONAL SECURITIES, INC. | E.H.R. FINANCIAL GROUP | DRAKE FINANCIAL GROUP | DIEHL FINANCIAL GROUP | DEEVERS AND SONS | CMJ FINANCIAL GROUP | CASTLEROCK FINANCIAL GROUP | BOHANNAN FINANCIAL
CRD#: 10111 / SEC#: 801-72263, 8-26486
RIA
Registered Investment Advisory firm - SEC (5/6/2011 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1 Primerica Parkway, Duluth, GA 30099-0001
Mailing Address
1 Primerica Parkway, Duluth, GA 30099-0001
Phone number
(770) 381-1000
Established
Georgia since 07/07/1981
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
3,762
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRIMERICA FINANCE CORPORATION | DIRECT OWNER | |
| COLEY, DASIA DEBORAH | VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 6760291 |
| JENDUSA, NICHOLAS ADAM | EXECUTIVE VICE PRESIDENT | 6037365 |
| LESUTIS, MICHAEL | SENIOR VICE PRESIDENT & CHIEF COUNSEL | 4751250 |
| MILLER, DEBORAH LYNN | EXECUTIVE VICE PRESIDENT | 3036949 |
| NEMETZ, WILLIAM JAMES | DIRECTOR; EXECUTIVE VICE PRESIDENT, CHIEF OPERATING OFFICER | 4589878 |
| REGARD, PAUL ETIENNE | PRESIDENT, DIRECTOR AND CHIEF EXECUTIVE OFFICER | 2448671 |
| RIVET, LORI ALLISON | EXECUTIVE VICE PRESIDENT | 4496273 |
| SUKIN, KAREN LYNN | EXECUTIVE VICE PRESIDENT AND GENERAL COUNSEL | 6292138 |
| WEIGLE, BRIAN STEVEN | DIRECTOR AND EXECUTIVE VICE PRESIDENT | 4131816 |
| WELLS, MICHAEL KURT | EXECUTIVE VICE PRESIDENT & TREASURER | 5999501 |
| WOODRING, DANIEL AARON | EXECUTIVE VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4028705 |
Regulatory assets under management
| Total Number of Accounts | 70,434 |
| AUM (Assets Under Management) | $ 11,156,017,804 |
Disclosures
| Regulatory Event | 22 |
| Arbitration | 2 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/26/2024 |
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.
