Juan A. Lopez

Some features on this profile are disabled

CRD#: 5328919

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Juan Antonio Lopez, who also goes by Anthony Lopez, Tony Lopez, was a registered financial professional .

Juan is a previously registered financial professional and started their career in finance in 2007. Juan had worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Anthony Lopez | Tony 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.

NAME: THE RESPONSIBLE LEADER INV REL: Y ADD: 12708 CASEWELL AVE #4 LOS ANGELES CA 90066 NATURE: OTHER - ONLINE COACHING & TRAINING; MINDSET, FINANCIAL WELLNESS, FUNDAMENTAL EDUCATION, SPIRITUAL POSITION: OWNERSHIP START DATE: 1/1/2020 NO HRS/MO: 40 NO HRS/MO DUR TRADING: 0. Consultant to CEO's and Small Business Owners. Support in developing their leadership team, sales growth and marketing strategy. Real Estate Agent; investment related: No; Location: TX USA; Description of the business: Acts as a realtor for a real estate agency; Responsibilities Duties: Finds real estate for individuals and businesses; Start date with business: 2022-07-11; Hours per month devoted to business during trading hours: 0; Hours per month devoted to business outside trading hours: 5; Percentage of total yearly compensation expected to be derived from the business: 5; President; Fractional Sales Inc.; Investment Related: No; 800 Claughton Island Dr. Miami Fl 33131 USA; Sales & Recruiting services to small & mid-sized businesses; Start date with business: 2022-08-31; Hours per month devoted to business during trading hours: 128; Hours per month devoted to business outside trading hours: 0; Percentage of total yearly compensation expected to be derived from the business: 80 ELITE RESOURCE TEAM; MEMBER; INVESTMENT RELATED: NO; 2100 TRAVIS ST. SUITE 650 HOUSTON TEXAS 77002 UNITED STATES; ATTENDANCE AT MEETINGS; 2023-03-06; HOURS PER MONTH DEVOTED TO BUSINESS DURING TRADING HOURS: 0;HOURS PER MONTH DEVOTED TO BUSINESS OUTSIDE TRADING HOURS: 5;PERCENTAGE OF TOTAL YEARLY COMPENSATION EXPECTED TO BE DERIVED FROM THE BUSINESS: 0;

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 25, 2022 - May 30, 2024

VERUS FINANCIAL GROUP

RIA

CRD#: 315153

HOUSTON, TX

Past

November 1, 2007 - May 20, 2021

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

SAN JOSE, CA

Past

August 7, 2007 - May 20, 2021

MML INVESTORS SERVICES, LLC

CRD#: 10409

SAN JOSE, 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".

VERUS FINANCIAL GROUP

EVS FINANCIAL | VERUS FINANCIAL GROUP | VERUS CAPITAL VENTURES, INC. | VERUS CAPITAL VENTURES, INC

CRD#: 315153 / SEC#: 801-129875

RIA

Registered Investment Advisory firm - (4/11/2024 Approved)

Texas

Registered Investment Advisory firm - (5/6/2024 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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/18/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/6/2007

General Securities Representative Examination

Current Firm

VERUS FINANCIAL GROUP

EVS FINANCIAL | VERUS FINANCIAL GROUP | VERUS CAPITAL VENTURES, INC. | VERUS CAPITAL VENTURES, INC

CRD#: 315153 / SEC#: 801-129875

RIA

Registered Investment Advisory firm - (4/11/2024 Approved)

Texas

Registered Investment Advisory firm - (5/6/2024 Terminated)

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

14141 Southwest Freeway Suite 150, Sugar Land, TX 77478

Mailing Address

Phone number

(713) 909-3188

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A- VERUS CAPITAL VENTURES, INC (9/4/2025)

Regulatory assets under management

Total Number of Accounts	640
AUM (Assets Under Management)	$ 129,716,992

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

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Juan A. Lopez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VERUS FINANCIAL GROUP

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

Primary Firm SEC Registration

VERUS FINANCIAL GROUP

State Registrations and Notice Filings

Exams

Series 66

Date: 7/18/2007

SIE

Date: 10/1/2018

Series 7

Date: 8/6/2007

Current Firm

VERUS FINANCIAL GROUP

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VERUS FINANCIAL GROUP

TRUST BUT VERIFY

Similar Advisors