Consuelo E. Lopez

KESTRA ADVISORY SERVICES

AVONDALE, AZ

CRD#: 5670527

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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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Consuelo Elizabeth 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

September 8, 2021 - Present

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

AVONDALE, AZ

Current

September 8, 2021 - Present

KESTRA INVESTMENT SERVICES, LLC

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

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

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.

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".

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.

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
(9/24/2021)

IAR

Arizona
(9/24/2021)

California
(9/8/2021)

Colorado
(12/18/2024)

Florida
(7/25/2024)

Missouri
(9/8/2021)

Oregon
(9/17/2021)

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: 7/28/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/18/2009

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: 7/11/2011

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/9/2009

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

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)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KESTRA ADVISORY SERVICES, LLC BROCHURE (RETAIL CLIENTS) (11/24/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (WRAP FEE PROGRAM) (11/24/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (PLAN CLIENTS) (11/24/2025)

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
12/01/2025	Cover Page	Report
12/23/2024	Cover Page	Report
10/20/2023	Cover Page	Report

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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Advisor Monitoring

Firm Stability Insights

Consuelo E. Lopez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Consuelo Elizabeth Lopez's CRS (Customer Relationship Summary).

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

Primary Firm SEC Registration

KESTRA ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/28/2011

Series 63

Date: 6/18/2009

SIE

Date: 10/1/2018

Series 7

Date: 7/11/2011

Series 6

Date: 6/9/2009

FINRA

Current Firm

KESTRA ADVISORY SERVICES, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

KESTRA ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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