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Brandon C. Lopez
CETERA INVESTMENT ADVISERS LLC
Chico, CA 95928
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CRD#: 5220698
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Professional summary
Brandon Charles Lopez is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Chico, California and CETERA WEALTH SERVICES, LLC located in Chico, California.
Brandon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Brandon has worked at 5 firms and has passed the Series 66, SIE and Series 7 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. NAME OF OTHER BUSINESS: NOTARY PUBLIC INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: THEY ARE AN INSURANCE GENERAL AGENT START DATE: 2/2021 POSITION/TITLE/RELATIONSHIP: BRANDON C. LOPEZ, NOTARY PUBLIC APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: I HAVE A NOTARY LICENSE (COMMISSION NUMBER: 2344456), TERM COMMENCING 2/1/2021 AND ENDING 1/31/2025 WITH THE PRINCIPAL PLACE OF BUSINESS IN THE COUNTY OF BUTTE. I PERFORM NOTARY SERVICES FOR EXISTING CLIENTS OF LIBERTY BELL FINANCIAL GROUP; 2. NAME OF OTHER BUSINESS: LIBERTY BELL FINANCIAL GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: DBA NAME START DATE: 11/2016 POSITION/TITLE/RELATIONSHIP: MANAGER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 6 BRIEF DESCRIPTION OF DUTIES: ADMINISTRATIVE DUTIES;
CRS (Client Relationship Summary) - RIA
Click below to view Brandon Charles Lopez's 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®
NoneExperience
Current
December 11, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 434 Broadway Street #100, Chico, CA 95928RIA
CRD#: 105644
Chico, CA
Current
December 11, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 434 Broadway St, Suite 100, Chico, CA 95928BD
CRD#: 13572
Chico, CA
Past
January 11, 2016 - December 20, 2023
LPL FINANCIAL LLC
RIA
CRD#: 6413
CHICO, CA
Past
January 11, 2016 - December 20, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
CHICO, CA
Past
October 23, 2009 - January 12, 2016
STIFEL, NICOLAUS & COMPANY, INCORPORATED
RIA
CRD#: 793
CHICO, CA
Past
October 23, 2009 - January 12, 2016
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
CHICO, CA
Past
December 22, 2008 - August 13, 2009
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
CHICO, CA
Past
October 6, 2008 - August 13, 2009
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
CHICO, CA
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
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.RR
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
RR
California(12/11/2023)
IAR
California(12/11/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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)
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 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
