Juan Lopez

INVICTA ADVISORS LLC

Western Springs, IL

Some features on this profile are disabled

CRD#: 4611028

Professional summary

Juan Lopez JR is a registered financial advisor currently at INVICTA ADVISORS LLC located in Western Springs, Illinois and INVICTA CAPITAL LLC located in Oakmont, Pennsylvania.

Juan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Juan has worked at 15 firms and has passed the Series 66, Series 63, Series 79TO, SIE, 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.

1) Singularity Partners, LLC; Not investment-related; Western Springs, IL; Ultimate holding company; Owner/partner; Managing partner/director; 02/2010; 5 hours per month; Started 2/2010. 20 hours per month, 5 during market hours; Maintain books, operations, admin. 2) Health Innovation Capital Management Company, LLC; Investment-related; Chicago, IL; Healthcare Venture Capital Fund; Partner/employee; Advisor to Health Innovation Capital Fund I, LP.; 12/2021; 80 hours per month; 60 during market hours; Fund administration and investor relations. 3) ETS Intelligence, LLC; Not investment-related; Schaumburg, IL; Private investigations & Security; Employee; Private investigator; 01/2020; 4 hours per month; 0 during market hours; On-call private investigations, surveillance, security, business development. 4) Alpha Optimization Capital Management, LLC; Investment-related; Frankfort, IL; Hedge fund; Advisory Board; Advisory board member; 12/2021; 2 hours per month; 0 during market hours; Help business think about growing.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Juan Lopez JR'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

October 31, 2023 - Present

INVICTA ADVISORS LLC

RIA

CRD#: 298868

Western Springs, IL

Current

January 17, 2023 - Present

INVICTA CAPITAL LLC

Office #1: 527 Cedar Way Suite 101, Oakmont, PA 15139

CRD#: 288101

OAKMONT, PA

Past

February 9, 2022 - May 9, 2022

VERITY INVESTMENTS, INC.

CRD#: 41527

DURHAM, NC

Past

February 8, 2022 - May 9, 2022

VERITY ASSET MANAGEMENT

RIA

CRD#: 158667

WESTERN SPRINGS, IL

Past

May 18, 2021 - August 12, 2021

VERITY ASSET MANAGEMENT

RIA

CRD#: 158667

Western Springs, IL

Past

May 18, 2021 - August 12, 2021

VERITY INVESTMENTS, INC.

CRD#: 41527

DURHAM, NC

Past

June 5, 2018 - December 19, 2019

LIGHTPATH CAPITAL, INC

CRD#: 34617

SOUTHLAKE, TX

Past

January 23, 2018 - May 15, 2018

FCF SECURITIES AND DERIVATIVES LLC

CRD#: 157067

CHICAGO, IL

Past

January 4, 2018 - May 15, 2018

NEW ALBION PARTNERS LLC

CRD#: 119518

NEW YORK, NY

Past

June 8, 2017 - February 8, 2018

LIGHTPATH CAPITAL, INC

CRD#: 34617

SOUTHLAKE, TX

Past

March 3, 2015 - April 27, 2015

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

CHICAGO, IL

Past

March 3, 2015 - April 27, 2015

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

CHICAGO, IL

Past

August 16, 2013 - February 23, 2015

FAIRBRIDGE CAPITAL MARKETS

CRD#: 103818

NEWPORT BEACH, CA

Past

September 7, 2011 - December 20, 2012

PENSERRA SECURITIES, LLC

CRD#: 145994

CHICAGO, IL

Past

April 14, 2010 - September 20, 2010

CABRERA CAPITAL MARKETS, LLC

CRD#: 10081

CHICAGO, IL

Past

March 19, 2007 - June 26, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

CHICAGO, IL

Past

March 19, 2007 - June 26, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

CHICAGO, IL

Past

July 1, 2004 - July 8, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CHICAGO, IL

Past

April 8, 2004 - July 8, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

December 16, 2003 - April 16, 2004

CHARTER ONE SECURITIES, INC.

CRD#: 13373

CLEVELAND, OH

Past

January 15, 2003 - December 12, 2003

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

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".

INVICTA ADVISORS LLC

CRD#: 298868 / SEC#: 801-114114

RIA

Registered Investment Advisory firm - (10/12/2018 Approved)

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

Illinois
(10/31/2023)

IAR

Illinois
(10/31/2023)

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: 4/27/2021

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/30/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/13/2010

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/30/2012

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

INVICTA ADVISORS LLC

CRD#: 298868 / SEC#: 801-114114

RIA

Registered Investment Advisory firm - (10/12/2018 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

527 Cedar Way Suite 101, Oakmont, PA 15139

Mailing Address

Phone number

(412) 349-8684

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 (3/10/2025)

Regulatory assets under management

Total Number of Accounts	1,371
AUM (Assets Under Management)	$ 183,496,330

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Juan Lopez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

INVICTA CAPITAL LLC

VERITY INVESTMENTS, INC.

VERITY ASSET MANAGEMENT

VERITY ASSET MANAGEMENT

VERITY INVESTMENTS, INC.

LIGHTPATH CAPITAL, INC

FCF SECURITIES AND DERIVATIVES LLC

NEW ALBION PARTNERS LLC

LIGHTPATH CAPITAL, INC

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

FAIRBRIDGE CAPITAL MARKETS

PENSERRA SECURITIES, LLC

CABRERA CAPITAL MARKETS, LLC

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CHARTER ONE SECURITIES, INC.

EDWARD JONES

Primary Firm SEC Registration

INVICTA ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/27/2021

Series 63

Date: 4/30/2010

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 4/13/2010

Series 24

Date: 3/30/2012

FINRA

Current Firm

INVICTA ADVISORS LLC

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

INVICTA ADVISORS LLC

TRUST BUT VERIFY

Similar Advisors