Nicole A. Lopez

BROADWAY WEALTH SOLUTIONS

San Antonio, TX 78209

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CRD#: 7405690

Professional summary

Nicole Ann Lopez is a registered financial advisor currently at BROADWAY WEALTH SOLUTIONS located in San Antonio, Texas.

Nicole is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Nicole has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Nicole Ann 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

July 1, 2021 - Present

BROADWAY WEALTH SOLUTIONS

Office #1: 1177 N.e. Loop 410 5th Floor, San Antonio, TX 78209

RIA

CRD#: 291753

San Antonio, 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".

BROADWAY WEALTH SOLUTIONS

BROADWAY SERVICES, INC. | BROADWAY WEALTH SOLUTIONS, INC. | BROADWAY WEALTH SOLUTIONS

CRD#: 291753 / SEC#: 801-124953

RIA

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

Texas

Registered Investment Advisory firm - (5/31/2022 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

Texas
(7/1/2021)

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: 4/21/2021

Uniform Investment Adviser Law Examination

Current Firm

BROADWAY WEALTH SOLUTIONS

BROADWAY SERVICES, INC. | BROADWAY WEALTH SOLUTIONS, INC. | BROADWAY WEALTH SOLUTIONS

CRD#: 291753 / SEC#: 801-124953

RIA

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

Texas

Registered Investment Advisory firm - (5/31/2022 Terminated)

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Contact information

Main Address

1177 N.e. Loop 410 5th Floor, San Antonio, TX 78209

Mailing Address

Phone number

(210) 283-6600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIRM BROCHURE (3/24/2025)

Regulatory assets under management

Total Number of Accounts	1,171
AUM (Assets Under Management)	$ 265,787,591

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/04/2024	Cover Page	Report
10/13/2023	Cover Page	Report
01/19/2023	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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Nicole A. Lopez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicole Ann Lopez's CRS (Customer Relationship Summary).

Certified licenses

Experience

BROADWAY WEALTH SOLUTIONS

Primary Firm SEC Registration

BROADWAY WEALTH SOLUTIONS

State Registrations and Notice Filings

Exams

Series 65

Date: 4/21/2021

Current Firm

BROADWAY WEALTH SOLUTIONS

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

BROADWAY WEALTH SOLUTIONS

TRUST BUT VERIFY

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