OL
Oscar B. Lopez Garcia
VANGUARD ADVISERS
SCOTTSDALE, AZ 85260
Some features on this profile are disabled
CRD#: 6086136
OL
Professional summary
Oscar Braulio Lopez Garcia, who also goes by Oscar B Lopez, Oscar B Lopez Garcia, is a registered financial advisor currently at VANGUARD ADVISERS, INC. located in Scottsdale, Arizona and VANGUARD MARKETING CORPORATION located in Scottsdale, Arizona.
Oscar is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Oscar has worked at 4 firms and has passed the Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Oscar B Lopez | Oscar B Lopez Garcia
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.
EMPLOYEE OF THE VANGUARD GROUP, INC (PARENT COMPANY OF VANGUARD MARKETING CORPORATION) 100 VANGUARD BLVD, MALVERN, PA 19355
CRS (Client Relationship Summary) - RIA
Click below to view Oscar Braulio Lopez Garcia'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
May 22, 2025 - Present
VANGUARD ADVISERS, INC.
Office #1: 14321 North Northsight Blvd, Scottsdale, AZ 85260RIA
CRD#: 106715
SCOTTSDALE, AZ
Current
February 10, 2020 - Present
VANGUARD MARKETING CORPORATION
Office #1: 14321 North Northsight Blvd., Scottsdale, AZ 85260BD
CRD#: 7452
Scottsdale, AZ
Past
October 1, 2012 - December 13, 2012
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
PHOENIX, AZ
Past
July 12, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
PHOENIX, 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".
VA
VANGUARD ADVISERS, INC.
VANGUARD ADVISERS INC | VPAS VPFP VFS VANGUARD NAVIGATOR PLUS | VPAS VPFP VFS AMTS VANGUARD NAVIGATOR PLUS | VPAS VPFP VFS AMTS | VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
RIA
Registered Investment Advisory firm - (7/28/1995 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
Alabama(4/30/2020)
RR
Alaska(4/30/2020)
RR
Arizona(2/12/2020)
IAR
Arizona(6/2/2025)
RR
Arkansas(4/30/2020)
RR
California(4/30/2020)
RR
Colorado(4/30/2020)
RR
Connecticut(4/30/2020)
RR
Delaware(4/30/2020)
RR
District of Columbia(4/30/2020)
RR
Florida(4/30/2020)
RR
Georgia(4/30/2020)
RR
Hawaii(4/30/2020)
RR
Idaho(4/30/2020)
RR
Illinois(4/30/2020)
RR
Indiana(4/30/2020)
RR
Iowa(4/30/2020)
RR
Kansas(4/30/2020)
RR
Kentucky(4/30/2020)
RR
Louisiana(4/30/2020)
RR
Maine(4/30/2020)
RR
Maryland(4/30/2020)
RR
Massachusetts(4/30/2020)
RR
Michigan(4/30/2020)
RR
Minnesota(4/30/2020)
RR
Mississippi(4/30/2020)
RR
Missouri(4/30/2020)
RR
Montana(4/30/2020)
RR
Nebraska(4/30/2020)
RR
Nevada(4/30/2020)
RR
New Hampshire(4/30/2020)
RR
New Jersey(4/30/2020)
RR
New Mexico(4/30/2020)
RR
New York(4/30/2020)
RR
North Carolina(4/30/2020)
RR
North Dakota(4/30/2020)
RR
Ohio(4/30/2020)
RR
Oklahoma(4/30/2020)
RR
Oregon(4/30/2020)
RR
Pennsylvania(4/30/2020)
RR
Puerto Rico(4/30/2020)
RR
Rhode Island(4/30/2020)
RR
South Carolina(4/30/2020)
RR
South Dakota(4/30/2020)
RR
Tennessee(4/30/2020)
RR
Texas(4/30/2020)
IAR
Texas(5/22/2025)
RR
Utah(4/30/2020)
RR
Vermont(4/30/2020)
RR
Virgin Islands(4/30/2020)
RR
Virginia(4/30/2020)
RR
Washington(4/30/2020)
RR
West Virginia(4/30/2020)
RR
Wisconsin(4/30/2020)
RR
Wyoming(4/30/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/10/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VA
VANGUARD ADVISERS, INC.
VANGUARD ADVISERS INC | VPAS VPFP VFS VANGUARD NAVIGATOR PLUS | VPAS VPFP VFS AMTS VANGUARD NAVIGATOR PLUS | VPAS VPFP VFS AMTS | VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
RIA
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Contact information
Main Address
100 Vanguard Blvd, Malvern, PA 19355
Mailing Address
Phone number
(610) 669-1000
Established
Firm type
Fiscal year end
# of Employees
2,225
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 698,843 |
| AUM (Assets Under Management) | $ 300,434,933,763 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 10/23/2024 | ||
| 06/28/2023 |
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.
