Humberto Lopez

ALLARIA ASSET MANAGEMENT

Miami, FL 33131

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CRD#: 4365800

Professional summary

Humberto Lopez is a registered financial advisor currently at ALLARIA ASSET MANAGEMENT, LLC located in Miami, Florida and ALLARIA SECURITIES, LLC located in Miami, Florida.

Humberto is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Humberto has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 Humberto 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

July 22, 2021 - Present

ALLARIA ASSET MANAGEMENT, LLC

Office #1: 1110 Brickell Avenue Suite 603, Miami, FL 33131

RIA

CRD#: 287513

Miami, FL

Current

July 6, 2021 - Present

ALLARIA SECURITIES, LLC

Office #1: 1110 Brickell Avenue Suite 603, Miami, FL 33131

CRD#: 286504

Miami, FL

Past

May 8, 2017 - July 13, 2021

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

West Palm Beach, FL

Past

May 27, 2015 - July 13, 2021

PRUCO SECURITIES, LLC.

CRD#: 5685

West Palm Beach, FL

Past

October 30, 2014 - June 12, 2015

ONEAMERICA SECURITIES, INC.

CRD#: 4173

MIAMI, FL

Past

January 24, 2012 - November 2, 2012

COHEN & COMPANY SECURITIES, LLC

CRD#: 149758

NEW YORK, NY

Past

May 17, 2010 - December 5, 2011

NOMURA SECURITIES INTERNATIONAL, INC.

CRD#: 4297

MIAMI, FL

Past

August 28, 2009 - February 1, 2010

NFSG CORPORATION

RIA

CRD#: 130814

FT. LAUDERDALE, FL

Past

July 7, 2009 - February 1, 2010

NEWBRIDGE SECURITIES CORPORATION

CRD#: 104065

FT. LAUDERDALE, FL

Past

June 12, 2008 - March 23, 2009

STANFORD GROUP COMPANY

RIA

CRD#: 39285

MIAMI, FL

Past

January 11, 2005 - March 23, 2009

STANFORD GROUP COMPANY

CRD#: 39285

MIAMI, FL

Past

March 26, 2001 - January 26, 2005

LEHMAN BROTHERS INC.

CRD#: 7506

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".

ALLARIA ASSET MANAGEMENT, LLC

CRD#: 287513 / SEC#: 801-125025

RIA

Registered Investment Advisory firm - (5/13/2022 Approved)

Florida

Registered Investment Advisory firm - (5/19/2022 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.

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

Florida
(7/12/2021)

IAR

Florida
(7/22/2021)

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 66

Date: 4/11/2017

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/26/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 5/24/2004

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 3/23/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/29/2010

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ALLARIA ASSET MANAGEMENT, LLC

CRD#: 287513 / SEC#: 801-125025

RIA

Registered Investment Advisory firm - (5/13/2022 Approved)

Florida

Registered Investment Advisory firm - (5/19/2022 Terminated)

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Contact information

Main Address

1110 Brickell Avenue Suite 603, Miami, FL 33131

Mailing Address

Phone number

(786) 686-5400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ALLARIA ASSET MANAGEMENT BROCHURE (8/15/2025)

Regulatory assets under management

Total Number of Accounts	14
AUM (Assets Under Management)	$ 115,084,978

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

Humberto Lopez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

ALLARIA SECURITIES, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

ONEAMERICA SECURITIES, INC.

COHEN & COMPANY SECURITIES, LLC

NOMURA SECURITIES INTERNATIONAL, INC.

NFSG CORPORATION

NEWBRIDGE SECURITIES CORPORATION

STANFORD GROUP COMPANY

STANFORD GROUP COMPANY

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

ALLARIA ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/11/2017

Series 63

Date: 4/26/2001

SIE

Date: 10/1/2018

Series 3

Date: 5/24/2004

Series 7

Date: 3/23/2001

Series 24

Date: 7/29/2010

FINRA

Current Firm

ALLARIA ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALLARIA ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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