Sebastian O. Lopez-hafen

DASH INVESTMENTS

PLANO, TX 75093

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CRD#: 7083372

Professional summary

Sebastian Oscar Lopez-hafen, who also goes by Sebastian O Hafen, Sebastian O Lopez, S O Lopez Hafen, Sebastian O Lopez-hafen, is a registered financial advisor currently at DASH INVESTMENTS located in Plano, Texas.

Sebastian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Sebastian has worked at 3 firms and has passed the Series 65, Series 63, Series 6TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sebastian O Hafen | Sebastian O Lopez | S O Lopez Hafen | Sebastian O Lopez-Hafen

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 Sebastian Oscar Lopez-hafen'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

May 27, 2025 - Present

DASH INVESTMENTS

Office #1: 6275 W Plano Pkwy Ste 500, Plano, TX 75093

RIA

CRD#: 135281

PLANO, TX

Past

November 2, 2021 - May 19, 2025

FISHER INVESTMENTS

RIA

CRD#: 107342

PLANO, TX

Past

June 26, 2019 - September 21, 2021

NYLIFE SECURITIES LLC

CRD#: 5167

IRVING, TX

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".

DASH INVESTMENTS

DASH ACQUISITIONS INC. | DASH INVESTMENTS | DASH INVESTMENT ADVISORS | DASH ACQUISITIONS LLC

CRD#: 135281 / SEC#: 801-113360

RIA

Registered Investment Advisory firm - (6/1/2018 Approved)

California

Registered Investment Advisory firm - (7/13/2018 Terminated)

New York

Registered Investment Advisory firm - (6/13/2018 Terminated)

Texas

Registered Investment Advisory firm - (6/13/2018 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

Texas
(5/27/2025)

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 65

Date: 11/2/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/14/2020

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 6/26/2019

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 6/5/2019

Securities Industry Essentials Examination

Current Firm

DASH INVESTMENTS

DASH ACQUISITIONS INC. | DASH INVESTMENTS | DASH INVESTMENT ADVISORS | DASH ACQUISITIONS LLC

CRD#: 135281 / SEC#: 801-113360

RIA

Registered Investment Advisory firm - (6/1/2018 Approved)

California

Registered Investment Advisory firm - (7/13/2018 Terminated)

New York

Registered Investment Advisory firm - (6/13/2018 Terminated)

Texas

Registered Investment Advisory firm - (6/13/2018 Terminated)

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Contact information

Main Address

21600 Oxnard Street Ste. 1755, Woodland Hills, CA 91367

Mailing Address

Phone number

(800) 549-3227

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2A BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	1,214
AUM (Assets Under Management)	$ 620,291,414

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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Firm Stability Insights

Sebastian O. Lopez-hafen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sebastian Oscar Lopez-hafen's CRS (Customer Relationship Summary).

Certified licenses

Experience

FISHER INVESTMENTS

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

DASH INVESTMENTS

State Registrations and Notice Filings

Exams

Series 65

Date: 11/2/2021

Series 63

Date: 5/14/2020

Series 6TO

Date: 6/26/2019

SIE

Date: 6/5/2019

Current Firm

DASH INVESTMENTS

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DASH INVESTMENTS

TRUST BUT VERIFY

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