Kevin Lopez

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CRD#: 6638635

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Kevin Lopez was a registered financial professional .

Kevin is a previously registered financial professional and started their career in finance in 2016. Kevin had worked at 6 firms and has passed the Series 63, Series 65, Series 7TO and SIE exams.

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 29, 2026 - July 2, 2026

FACET

RIA

CRD#: 285961

Riverview, FL

Past

March 31, 2025 - June 10, 2026

MORGAN STANLEY

RIA

CRD#: 149777

Tampa, FL

Past

March 31, 2025 - June 10, 2026

MORGAN STANLEY

CRD#: 149777

Tampa, FL

Past

November 23, 2021 - March 3, 2025

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

JACKSONVILLE, FL

Past

November 10, 2021 - March 3, 2025

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

JACKSONVILLE, FL

Past

February 22, 2021 - September 25, 2021

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Orlando, FL

Past

January 10, 2020 - September 25, 2021

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Orlando, FL

Past

August 15, 2016 - November 17, 2017

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

RIA

CRD#: 132070

SARASOTA, FL

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".

FACET

CRD#: 285961 / SEC#: 801-108767

RIA

Registered Investment Advisory firm - (12/15/2016 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 6/28/2021

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/10/2016

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 2/22/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 9/27/2019

Securities Industry Essentials Examination

Current Firm

FACET

CRD#: 285961 / SEC#: 801-108767

RIA

Registered Investment Advisory firm - (12/15/2016 Approved)

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Contact information

Main Address

2054 Vista Parkway Ste 400, West Palm Beach, FL 33411

Mailing Address

Phone number

(443) 376-6222

Established

Firm type

Fiscal year end

# of Employees

168

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (2/4/2026)

Regulatory assets under management

Total Number of Accounts	39,720
AUM (Assets Under Management)	$ 6,037,907,630

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
04/29/2025	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

Kevin Lopez

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MORGAN STANLEY

MORGAN STANLEY

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY BROKERAGE SERVICES LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

Primary Firm SEC Registration

FACET

State Registrations and Notice Filings

Exams

Series 63

Date: 6/28/2021

Series 65

Date: 8/10/2016

Series 7TO

Date: 2/22/2021

SIE

Date: 9/27/2019

Current Firm

FACET

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

FACET

TRUST BUT VERIFY

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