Roy M. Lopez

SAGE STONE WEALTH MANAGEMENT LLC

La Jolla, CA 92037

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CRD#: 4156902

Professional summary

Roy Michael Lopez II, who also goes by Michael Lopez, is a registered financial advisor currently at SAGE STONE WEALTH MANAGEMENT LLC located in La Jolla, California.

Roy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Roy has worked at 2 firms and has passed the Series 65, Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roy Michael Lopez II'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

January 20, 2012 - Present

SAGE STONE WEALTH MANAGEMENT LLC

Office #1: 7946 Ivanhoe Avenue Suite 316, La Jolla, CA 92037

RIA

CRD#: 155477

La Jolla, CA

Past

March 22, 2001 - July 23, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

OAKLAND, CA

Past

September 1, 2000 - July 23, 2002

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".

SAGE STONE WEALTH MANAGEMENT LLC

KING & CO. INVESTMENT COUNSEL LLC | SAGE STONE WEALTH MANAGEMENT LLC

CRD#: 155477 / SEC#: 801-91170

RIA

Registered Investment Advisory firm - (4/17/2015 Approved)

California

Registered Investment Advisory firm - (5/17/2015 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(1/20/2012)

IAR

Texas
(6/2/2022)

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 65

Date: 1/19/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 1/18/2001

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 8/31/2000

General Securities Representative Examination

Current Firm

SAGE STONE WEALTH MANAGEMENT LLC

KING & CO. INVESTMENT COUNSEL LLC | SAGE STONE WEALTH MANAGEMENT LLC

CRD#: 155477 / SEC#: 801-91170

RIA

Registered Investment Advisory firm - (4/17/2015 Approved)

California

Registered Investment Advisory firm - (5/17/2015 Terminated)

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Contact information

Main Address

7946 Ivanhoe Avenue Suite 316, La Jolla, CA 92037

Mailing Address

Phone number

(858) 412-6404

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

FORM ADV PART 2A DATED MARCH 31, 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	424
AUM (Assets Under Management)	$ 230,424,004

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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Roy M. Lopez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roy Michael Lopez II's CRS (Customer Relationship Summary).

Certified licenses

Experience

SAGE STONE WEALTH MANAGEMENT LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

SAGE STONE WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/19/2012

Series 66

Date: 1/18/2001

Series 7

Date: 8/31/2000

Current Firm

SAGE STONE WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SAGE STONE WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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