Anthony M. Lopiccolo

CUSTOS FAMILY OFFICE LLC

GREENWOOD VILLAGE, CO

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CRD#: 5331964

Professional summary

Anthony M Lopiccolo, who also goes by Anthony Lopiccolo, is a registered financial advisor currently at CUSTOS FAMILY OFFICE LLC located in Greenwood Village, Colorado.

Anthony is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Anthony has worked at 5 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Anthony Lopiccolo

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) JKG 121416 LLC; Investment related; 5503 S. University Bld, Greenwood Village, CO 80121; business entity for tax purposes only; Member and partial direct owner of Custos Family Office; 0 hours per month during trading hours; pass through entity for Custos Family Office income for tax purposes. 2) Mow Time Partners, LLC. 5/2019-Member- compensation and does have access to the business finances. Entity is separate and unaffiliated with Custos Family Office. Spends less than 10 hrs/mo. 3) Notary Public - State of Colorado, no compensation received

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anthony M Lopiccolo'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

April 25, 2018 - Present

CUSTOS FAMILY OFFICE LLC

RIA

CRD#: 294025

GREENWOOD VILLAGE, CO

Past

March 22, 2013 - April 24, 2018

J.P. MORGAN SECURITIES LLC

CRD#: 79

DENVER, CO

Past

February 18, 2010 - April 24, 2012

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

June 18, 2009 - January 20, 2010

BARCLAY INVESTMENTS LLC

CRD#: 6159

SANTA MONICA, CA

Past

October 13, 2008 - March 30, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SAN FRANCISCO, 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".

CUSTOS FAMILY OFFICE LLC

CRD#: 294025 / SEC#: 801-117243

RIA

Registered Investment Advisory firm - (8/23/2019 Approved)

Colorado

Registered Investment Advisory firm - (8/27/2019 Terminated)

Texas

Registered Investment Advisory firm - (8/26/2019 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Colorado
(4/25/2018)

IAR

Texas
(8/31/2018)

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

Series 63

Date: 10/2/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/24/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 1/9/2009

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 10/10/2008

General Securities Representative Examination

Current Firm

CUSTOS FAMILY OFFICE LLC

CRD#: 294025 / SEC#: 801-117243

RIA

Registered Investment Advisory firm - (8/23/2019 Approved)

Colorado

Registered Investment Advisory firm - (8/27/2019 Terminated)

Texas

Registered Investment Advisory firm - (8/26/2019 Terminated)

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Contact information

Main Address

Austin, TX

Mailing Address

Phone number

(303) 578-7024

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A WRAP BROCHURE (4/21/2025)

PART 2A BROCHURE (4/21/2025)

Regulatory assets under management

Total Number of Accounts	413
AUM (Assets Under Management)	$ 729,594,023

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.

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Firm Stability Insights

Anthony M. Lopiccolo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anthony M Lopiccolo's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.P. MORGAN SECURITIES LLC

MORGAN STANLEY & CO. LLC

BARCLAY INVESTMENTS LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

CUSTOS FAMILY OFFICE LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/2/2008

SIE

Date: 4/24/2018

Series 3

Date: 1/9/2009

Series 7

Date: 10/10/2008

Current Firm

CUSTOS FAMILY OFFICE LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CUSTOS FAMILY OFFICE LLC

TRUST BUT VERIFY

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