William L. Hernandez

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CRD#: 4137824

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

William Lopez Hernandez JR, who also goes by Guillermo Lopez Hernandez, William L Hernandez Jr, William Lopez Hernandez Jr, was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 2000. William had worked at 11 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Guillermo Lopez Hernandez | William L Hernandez Jr | William Lopez Hernandez Jr

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 6, 2024 - September 25, 2025

SHUSTER ADVISORY GROUP, LLC

RIA

CRD#: 170233

PASADENA, CA

Past

February 18, 2022 - July 21, 2022

FISHER INVESTMENTS

RIA

CRD#: 107342

CAMAS, WA

Past

September 5, 2019 - December 22, 2020

LIGHTHOUSE FINANCIAL SERVICES INC

RIA

CRD#: 110367

BREA, CA

Past

May 11, 2015 - July 21, 2016

SUMMIT ADVISOR SOLUTIONS

RIA

CRD#: 118581

GIG HARBOR, WA

Past

December 16, 2014 - July 21, 2016

SCA

RIA

CRD#: 153269

GIG HARBOR, WA

Past

January 4, 2012 - December 31, 2014

STRATEGIC CAPITAL GROUP L.L.C.

RIA

CRD#: 133381

GIG HARBOR, WA

Past

November 22, 2011 - July 21, 2016

RP CAPITAL LLC

CRD#: 134768

GIG HARBOR, WA

Past

April 24, 2006 - October 11, 2011

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

INDIAN WELLS, CA

Past

April 28, 2003 - October 11, 2011

TD AMERITRADE, INC.

RIA

CRD#: 7870

INDIAN WELLS, CA

Past

March 13, 2002 - October 11, 2011

TD AMERITRADE, INC.

CRD#: 7870

INDIAN WELLS, CA

Past

August 28, 2001 - March 28, 2002

WAMU INVESTMENTS, INC.

CRD#: 599

IRVINE, CA

Past

April 11, 2000 - July 24, 2001

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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".

SHUSTER ADVISORY GROUP, LLC

CRD#: 170233 / SEC#: 801-106929

RIA

Registered Investment Advisory firm - (11/19/2015 Approved)

California

Registered Investment Advisory firm - (1/22/2016 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/5/2000

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 7/21/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/1/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 2/16/2004

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 12/17/2003

General Securities Sales Supervisor - Options Module Examination

Current Firm

SHUSTER ADVISORY GROUP, LLC

CRD#: 170233 / SEC#: 801-106929

RIA

Registered Investment Advisory firm - (11/19/2015 Approved)

California

Registered Investment Advisory firm - (1/22/2016 Terminated)

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Contact information

Main Address

155 N. Lake Ave. Suite 950, Pasadena, CA 91101

Mailing Address

Phone number

(626) 578-0816

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2.18.25_ADV_2A_RPC (3/7/2025)

2.18.25_ADV_2A_WEALTH (3/7/2025)

Regulatory assets under management

Total Number of Accounts	884
AUM (Assets Under Management)	$ 7,909,384,939

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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Advisor Monitoring

Firm Stability Insights

William L. Hernandez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FISHER INVESTMENTS

LIGHTHOUSE FINANCIAL SERVICES INC

SUMMIT ADVISOR SOLUTIONS

SCA

STRATEGIC CAPITAL GROUP L.L.C.

RP CAPITAL LLC

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

WAMU INVESTMENTS, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

SHUSTER ADVISORY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/5/2000

SIE

Date: 7/21/2016

Series 7

Date: 4/1/2000

Series 10

Date: 2/16/2004

Series 9

Date: 12/17/2003

Current Firm

SHUSTER ADVISORY GROUP, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SHUSTER ADVISORY GROUP, LLC

TRUST BUT VERIFY

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