Monique R. San Miguel Lopez

SAS FINANCIAL ADVISORS.

SAN FRANCISCO, CA 94111

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CRD#: 6543655

Professional summary

Monique Renee San Miguel Lopez, who also goes by Monique Renee San Miguel, is a registered financial advisor currently at SAS FINANCIAL ADVISORS, LLC. located in San Francisco, California.

Monique is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Monique has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Monique Renee San Miguel

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 Monique Renee San Miguel 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

April 23, 2020 - Present

SAS FINANCIAL ADVISORS, LLC.

Office #1: 50 California Street Suite 1500, San Francisco, CA 94111

RIA

CRD#: 288015

SAN FRANCISCO, CA

Past

October 10, 2018 - December 9, 2019

FORUSALL

RIA

CRD#: 167241

SAN FRANCISCO, CA

Past

January 28, 2016 - October 5, 2018

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

WALNUT CREEK, CA

Past

November 23, 2015 - October 5, 2018

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WALNUT CREEK, CA

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".

SAS FINANCIAL ADVISORS, LLC.

CRD#: 288015 / SEC#: 801-124837

RIA

Registered Investment Advisory firm - (5/2/2022 Approved)

California

Registered Investment Advisory firm - (7/30/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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
(4/23/2020)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/28/2016

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/23/2015

General Securities Representative Examination

Current Firm

SAS FINANCIAL ADVISORS, LLC.

CRD#: 288015 / SEC#: 801-124837

RIA

Registered Investment Advisory firm - (5/2/2022 Approved)

California

Registered Investment Advisory firm - (7/30/2022 Terminated)

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Contact information

Main Address

50 California Street Suite 1500, San Francisco, CA 94111

Mailing Address

Phone number

(415) 277-5955

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SAS FINANCIAL ADVISORS - ADV PART 2B BROCHURE (2025) (9/2/2025)

SAS FINANCIAL ADVISORS - ADV PART 2A BROCHURE (2025) (9/2/2025)

Regulatory assets under management

Total Number of Accounts	576
AUM (Assets Under Management)	$ 150,344,620

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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Monique R. San Miguel Lopez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Monique Renee San Miguel Lopez's CRS (Customer Relationship Summary).

Certified licenses

Experience

SAS FINANCIAL ADVISORS, LLC.

FORUSALL

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

SAS FINANCIAL ADVISORS, LLC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/28/2016

SIE

Date: 10/1/2018

Series 7

Date: 11/23/2015

Current Firm

SAS FINANCIAL ADVISORS, LLC.

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SAS FINANCIAL ADVISORS, LLC.

TRUST BUT VERIFY

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