Jose A. Lopez
Professional summary
Jose Alberto Lopez Jr, who also goes by Jose A Lopez Jr, Jose A Lopez, Jose Alberto Lopez Jr., Jose Lopez, Jose Alberto Lopez, is a registered financial professional currently at CETERA WEALTH SERVICES, LLC located in El Segundo, California.
Jose is registered as a RR (Registered Representative) and started their career in finance in 2007. Jose has worked at 13 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jose Alberto Lopez Jr's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 30, 2022 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245June 30, 2022 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
June 30, 2022 - December 31, 2024
CETERA INVESTMENT SERVICES LLC
June 30, 2022 - December 31, 2024
CETERA FINANCIAL SPECIALISTS LLC
June 30, 2022 - December 31, 2024
CETERA ADVISORS LLC
April 8, 2020 - December 15, 2020
EMERSON EQUITY LLC
July 20, 2018 - November 21, 2019
EMERSON EQUITY LLC
February 28, 2018 - June 6, 2018
ASCENDANT ALTERNATIVE STRATEGIES, LLC
June 23, 2016 - February 5, 2018
MORGAN STANLEY
June 13, 2016 - February 5, 2018
MORGAN STANLEY
June 16, 2015 - March 23, 2016
ATEL SECURITIES CORPORATION
May 1, 2015 - June 17, 2015
GLOBAL ATLANTIC DISTRIBUTORS, LLC
November 5, 2010 - February 17, 2015
REALTY CAPITAL SECURITIES, LLC
February 10, 2010 - October 29, 2010
FS INVESTMENT SOLUTIONS, LLC
September 14, 2007 - May 4, 2009
FRANKLIN DISTRIBUTORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/1/2022)
(7/11/2022)
(6/30/2022)
(7/1/2022)
(7/5/2022)
(7/6/2022)
(7/5/2022)
(7/5/2022)
Exams
FINRA
Current Firm
CETERA WEALTH SERVICES, LLC
CRD#: 13572 / SEC#: 801-47342, 8-29577
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 4710068 |
| COAXUM, KOFI SULE | VICE PRESIDENT | 5150018 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| GOOLEY, THOMAS ANDREW | MANAGER | 4526760 |
| HALLORAN, THOMAS WILLIAM | VICE PRESIDENT | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 5059176 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | PRESIDENT AND MANAGER | 2272183 |
| STONE, TIMOTHY PATRICK | VICE PRESIDENT | 3038963 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WATTS, ANDREW DAVID | VICE PRESIDENT | 4780880 |
Regulatory assets under management
| Total Number of Accounts | 192,956 |
| AUM (Assets Under Management) | $ 46,651,447,975 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 2 |
| Arbitration | 15 |
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.
