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PL

Pablo F. Lopez

PFL PARTNERS LLC
HAWTHORNE, CA
Some features on this profile are disabled
CRD#: 5966392
PL

Professional summary

Pablo Francisco Lopez, who also goes by Pablo Lopez, is a registered financial advisor currently at PFL PARTNERS LLC located in Hawthorne, California.

Pablo is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Pablo has worked at 2 firms and has passed the Series 65, Series 63 and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Pablo 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.
PFL Partners LLC ("PFL") is a Consulting CFO and strategic advisor for early and mid stage companies. Services include financial modeling, analytics, deal structuring & analysis, capital raise support, strategic planning, and investor relations. Services do not include advice or analysis regarding securities or investment advisory services.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Pablo Francisco 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

December 10, 2021 - Present

PFL PARTNERS LLC

RIA
CRD#: 316661
HAWTHORNE, CA
Past

December 19, 2011 - February 3, 2014

EM SECURITIES LLC

BD
CRD#: 148257
LOS ANGELES, 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
(12/10/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/21/2021
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/23/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79
Date: 12/16/2011
Investment Banking Registered Representative Examination

Current Firm

PP
PFL PARTNERS LLC
PFL PARTNERS LLC

CRD#: 316661 / SEC#:

California
Registered Investment Advisory firm - (12/10/2021 Approved)
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Contact information

Main Address
Hawthorne, CA
Mailing Address
Phone number
(310) 308-4054
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

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

PFL PARTNERS LLC

CRD#: 316661Hawthorne, CA

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