Javier E. Lopez

SCHWAB WEALTH ADVISORY

Jersey City, NJ 07302

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CRD#: 5571984

Professional summary

Javier Elias Lopez, who also goes by Javier Elias Lopez, Javier Lopez, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Jersey City, New Jersey and CHARLES SCHWAB & CO., INC. located in Jersey City, New Jersey.

Javier is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Javier has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Javier Elias Lopez | Javier 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 Javier Elias 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

May 13, 2025 - Present

SCHWAB WEALTH ADVISORY, INC.

Office #1: 30 Hudson Street, Jersey City, NJ 07302

RIA

CRD#: 159035

Jersey City, NJ

Current

January 26, 2022 - Present

CHARLES SCHWAB & CO., INC.

Office #1: 30 Hudson Street Floor 23, Jersey City, NJ 07302

RIA

CRD#: 5393

Jersey City, NJ

Past

January 26, 2022 - May 28, 2025

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Verona, NJ

Past

October 20, 2016 - October 14, 2022

TD AMERITRADE, INC.

RIA

CRD#: 7870

New York City, NY

Past

October 13, 2016 - September 7, 2023

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

New York, NY

Past

October 10, 2016 - May 19, 2024

TD AMERITRADE, INC.

CRD#: 7870

New York City, NY

Past

December 10, 2014 - July 28, 2015

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

WEEHAWKEN, NJ

Past

September 22, 2014 - July 28, 2015

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

April 28, 2011 - September 20, 2013

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

SECAUCUS, NJ

Past

November 4, 2010 - April 12, 2011

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

MORRIS PLAINS, NJ

Past

September 19, 2008 - September 10, 2010

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

NEW YORK, NY

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".

SCHWAB WEALTH ADVISORY, INC.

SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035 / SEC#: 801-72795

RIA

Registered Investment Advisory firm - (12/9/2011 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
(1/26/2022)

California
(1/26/2022)

Colorado
(1/26/2022)

Connecticut
(1/26/2022)

Florida
(1/26/2022)

Illinois
(1/26/2022)

Maryland
(1/26/2022)

Massachusetts
(2/28/2022)

Michigan
(1/26/2022)

Missouri
(3/2/2023)

New Jersey
(1/26/2022)

IAR

New Jersey
(5/15/2025)

New York
(1/26/2022)

IAR

New York
(5/13/2025)

Oregon
(8/16/2022)

Pennsylvania
(2/15/2022)

Tennessee
(1/26/2022)

Texas
(1/26/2022)

IAR

Texas
(8/11/2025)

Utah
(9/17/2024)

Virginia
(2/27/2022)

Washington
(1/26/2022)

Wisconsin
(8/26/2022)

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: 12/6/2014

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/27/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/7/2014

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/17/2008

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

SCHWAB WEALTH ADVISORY, INC.

SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035 / SEC#: 801-72795

RIA

Registered Investment Advisory firm - (12/9/2011 Approved)

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Contact information

Main Address

211 Main Street, San Francisco, CA 94105-1901

Mailing Address

Phone number

(415) 667-7000

Established

Firm type

Fiscal year end

# of Employees

1,042

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SCHWAB WEALTH ADVISORY, INC. DISCLOSURE BROCHURE (9/23/2025)

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

Javier E. Lopez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Javier Elias Lopez's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

PNC WEALTH MANAGEMENT LLC

WELLS FARGO CLEARING SERVICES, LLC

CHASE INVESTMENT SERVICES CORP.

Primary Firm SEC Registration

SCHWAB WEALTH ADVISORY, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/6/2014

Series 63

Date: 8/27/2008

SIE

Date: 10/1/2018

Series 7

Date: 10/7/2014

Series 6

Date: 9/17/2008

FINRA

Nasdaq Stock Market

Current Firm

SCHWAB WEALTH ADVISORY, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

SCHWAB WEALTH ADVISORY, INC.

TRUST BUT VERIFY

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