Antonio A. Lopez

CETERA INVESTMENT ADVISERS

Coral Gables, FL 33134

CRD#: 5147990

Some features on this profile are disabled

Professional summary

Antonio Andres Lopez, who also goes by Antonio A Lopez, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Coral Gables, Florida and CETERA ADVISORS LLC located in Coral Gables, Florida.

Antonio is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Antonio has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Antonio A 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 Antonio Andres 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

March 6, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 2332 Galiano Street 2nd Floor, Coral Gables, FL 33134

RIA

CRD#: 105644

Coral Gables, FL

Current

February 10, 2023 - Present

CETERA ADVISORS LLC

Office #1: 2332 Galiano Street 2nd Floor, Coral Gables, FL 33134

CRD#: 10299

Coral Gables, FL

Past

February 10, 2023 - March 21, 2024

CETERA ADVISORS LLC

RIA

CRD#: 10299

Miami, FL

Past

December 13, 2018 - February 6, 2023

EDWARD JONES

RIA

CRD#: 250

MIAMI, FL

Past

November 19, 2018 - February 6, 2023

EDWARD JONES

CRD#: 250

MIAMI, FL

Past

December 20, 2016 - September 19, 2018

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

Past

December 20, 2016 - September 19, 2018

IVY DISTRIBUTORS, INC.

CRD#: 16496

OVERLAND PARK, KS

Past

March 14, 2013 - October 7, 2016

FUNDS DISTRIBUTOR, LLC

CRD#: 7174

NEW YORK, NY

Past

December 16, 2009 - February 26, 2013

NYLIFE DISTRIBUTORS LLC

CRD#: 35350

NEW YORK, NY

Past

January 4, 2008 - June 11, 2009

COREBRIDGE CAPITAL SERVICES, INC.

CRD#: 13158

JERSEY CITY, NJ

Past

June 13, 2006 - November 13, 2007

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

KEARNY, NJ

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 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

Arizona
(3/2/2023)

California
(2/10/2023)

Colorado
(2/10/2023)

Connecticut
(8/28/2025)

Florida
(2/10/2023)

IAR

Florida
(3/6/2024)

Georgia
(2/10/2023)

Illinois
(2/10/2023)

Indiana
(2/10/2023)

Kentucky
(1/26/2026)

Maine
(7/30/2025)

Maryland
(3/6/2025)

Massachusetts
(3/6/2025)

Michigan
(8/20/2024)

Mississippi
(5/4/2026)

New Jersey
(2/10/2023)

New York
(2/10/2023)

North Carolina
(9/16/2024)

Texas
(2/10/2023)

IAR

Texas
(3/21/2024)

Vermont
(10/30/2024)

Virginia
(3/6/2025)

Washington
(6/13/2025)

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: 12/11/2018

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/5/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/19/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/17/2010

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/12/2006

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

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

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

Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report

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.

Contact information

(xxx) xxx-xxxx

Similar Advisors

Stacy Miller

BAYVIEW FINANCIAL PLANNING

IAR

LUTZ, FL

Jon Hoyle

GRADIENT ADVISORS, LLC

IAR

Kings Mountain, NC

Nathan Brown

FARTHER

IAR

Portland, OR

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Antonio A. Lopez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA ADVISORS LLC

EDWARD JONES

EDWARD JONES

WADDELL & REED

IVY DISTRIBUTORS, INC.

FUNDS DISTRIBUTOR, LLC

NYLIFE DISTRIBUTORS LLC

COREBRIDGE CAPITAL SERVICES, INC.

CHASE INVESTMENT SERVICES CORP.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/11/2018

Series 63

Date: 7/5/2006

SIE

Date: 9/19/2018

Series 7

Date: 11/17/2010

Series 6

Date: 6/12/2006

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

Contact information

Similar Advisors