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HL

Hugo Lopez

LIGHTHOUSE ADVISORY SERVICES
Poway, CA 92064
Some features on this profile are disabled
CRD#: 5649058
HL

Professional summary

Hugo Lopez is a registered financial advisor currently at LIGHTHOUSE ADVISORY SERVICES, INC. located in Poway, California.

Hugo is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Hugo has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 6 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Hugo 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®
None

Experience

Current

November 15, 2019 - Present

LIGHTHOUSE ADVISORY SERVICES, INC.

Office #1: 12718 Shadowline St., Poway, CA 92064
RIA
CRD#: 306258
Poway, CA
Past

January 3, 2018 - January 2, 2020

DBA SEASIDE FINANCIAL & INSURANCE SERVICES

RIA
CRD#: 289985
CARLSBAD, CA
Past

August 1, 2014 - December 9, 2019

FORTUNE FINANCIAL SERVICES, INC.

BD
CRD#: 42150
Carlsbad, CA
Past

March 5, 2012 - May 23, 2018

SEASIDE FINANCIAL & INSURANCE SERVICES

RIA
CRD#: 132929
CARLSBAD, CA
Past

November 30, 2011 - August 5, 2014

FINANCIAL TELESIS INC

BD
CRD#: 31012
CARLSBAD, CA
Past

August 16, 2010 - November 29, 2011

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
RAMONA, CA
Past

October 13, 2009 - August 13, 2010

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
RAMONA, CA

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
California
(11/15/2019)
IAR
Texas
(5/2/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/2/2012
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/11/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 10/12/2009
Investment Company Products/Variable Contracts Representative Examination

Current Firm

LA
LIGHTHOUSE ADVISORY SERVICES, INC.
LIGHTHOUSE ADVISORY SERVICES, INC.

CRD#: 306258 / SEC#:

California
Registered Investment Advisory firm - (11/15/2019 Approved)
Texas
Registered Investment Advisory firm - (5/2/2022 Conditional Restricted)
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Contact information

Main Address
Poway, CA
Mailing Address
Phone number
(858) 414-5217
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts48
AUM (Assets Under Management)$ 7,907,830

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.

Company Information

LIGHTHOUSE ADVISORY SERVICES, INC.

CRD#: 306258Poway, CA 92064

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