CL
Consuelo E. Lopez
KESTRA ADVISORY SERVICES
AVONDALE, AZ
Some features on this profile are disabled
CRD#: 5670527
CL
Professional summary
Consuelo Elizabeth Lopez is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Avondale, Arizona and KESTRA INVESTMENT SERVICES, LLC located in Phoenix, Arizona.
Consuelo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Consuelo has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 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.
Name: VALSBAT LLC POSITION: Owner NATURE: Baseball coaching INVESTMENT RELATED: No # OF HOURS: 8 SECURITIES TRADING HOURS: 21 START DATE: 01/30/2021 ADDRESS: 825 S 125th ave, Avondale AZ 85323 DESCRIPTION: None, Just a owner for estate planning Purposes Name: PROMINENT PEAK WEALTH MANAGEMENT POSITION: Sr Wealth Advisor , Co Founder NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes # OF HOURS: 152 SECURITIES TRADING HOURS: 63 START DATE: 09/09/2021 ADDRESS: 825 S 125th ave, Avondale AZ 85323 DESCRIPTION: As a owner i am responsible for the daily ongoing management of the business. As a Sr Wealth Advisor my role is to assist clients with their Financial Journey Name: KESTRA ADVISORY SERVICES LLC POSITION: IAR NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes # OF HOURS: 120 SECURITIES TRADING HOURS: 63 START DATE: 09/09/2021 ADDRESS: 5707 Sw Parkway building 2 suite 400, austin TX 78735 DESCRIPTION: Financial and Investment Advising Name: PROMINENT PEAK TAX AND ESTATE SERVICES POSITION: Owner NATURE: Besides outsourcing tax preparation, which this submission was originally approved for, we will now also be outsourcing basic estate planning services for clients. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 4 START DATE: 02/24/2023 ADDRESS: 2626 e Bear creek ln, Phoenix AZ 85024 DESCRIPTION: Hiring and firing of staff and monitoring workflows Name: DESERT SAHUARO HOLDINGS LLC POSITION: Member NATURE: Real Estate INVESTMENT RELATED: No # OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 07/24/2025 ADDRESS: 825 s 125TH AVE, Avondale AZ 85323, United States DESCRIPTION: I am a passive investor in a real estate development project. My sole responsibility is purchasing land for future development. I do not engage in management, construction, or sales activities. This investment is held through a privately-owned LLC, and no firm clients or firm-related resources are involved NAME: PROMINENT PEAK WEALTH MANAGEMENT POSITION: Sr Wealth Advisor , Co Founder NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes # OF HOURS: 152 SECURITIES TRADING HOURS: 63 START DATE: 09/09/2021 ADDRESS: 825 S 125th ave, Avondale AZ 85323, United States DESCRIPTION: As a owner i am responsible for the daily ongoing management of the business. As a Sr Wealth Advisor my role is to assist clients with their Financial Journey
CRS (Client Relationship Summary) - RIA
Click below to view Consuelo Elizabeth 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®
NoneExperience
Current
September 8, 2021 - Present
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
AVONDALE, AZ
Current
September 8, 2021 - Present
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
Phoenix, AZ
Past
June 12, 2014 - September 14, 2021
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
PHOENIX, AZ
Past
May 27, 2014 - September 14, 2021
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
PHOENIX, AZ
Past
October 1, 2012 - June 10, 2014
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
PHOENIX, AZ
Past
October 1, 2012 - June 10, 2014
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
PHOENIX, AZ
Past
August 5, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
GLENDALE, AZ
Past
June 11, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
GLENDALE, AZ
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 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.RR
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
RR
Arizona(9/24/2021)
IAR
Arizona(9/24/2021)
RR
California(9/8/2021)
RR
Colorado(12/18/2024)
RR
Florida(7/25/2024)
RR
Missouri(9/8/2021)
RR
Oregon(9/17/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
