Alex I. Lopez

Some features on this profile are disabled

CRD#: 7575950

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.

Alex Imer Lopez was a registered financial professional .

Alex is a previously registered financial professional and started their career in finance in 2023. Alex had worked at 5 firms and has passed the Series 66, 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.

EMPLOYEE OF THE VANGUARD GROUP, INC (PARENT COMPANY OF VANGUARD MARKETING CORPORATION) 100 VANGUARD BLVD, MALVERN, PA 19355 NAME OF BUSINESS: Impez LLC NON-INVESTMENT RELATED ADDRESS (City/State): Phoenix, AZ NATURE OF BUSINESS: E-Commerce POSITION: Owner START DATE (Month/Year): 02/2022 APPROXIMATE HOURS PER MONTH: 2 NUMBER OF HOURS DURING TRADING HOURS: 0 DUTIES: Sell shoes, clothing, and accessories NAME OF BUSINESS: P1 Home Loans INVESTMENT RELATED ADDRESS (City/State): Glendale, AZ NATURE OF BUSINESS: Real Estate POSITION: Assistant to Mortgage Loan Officer START DATE (Month/Year): 02/2023 APPROXIMATE HOURS PER MONTH: 10 NUMBER OF HOURS DURING TRADING HOURS: 0 DUTIES: Assistant to a Mortgage Loan Officer

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

February 13, 2026 - September 14, 2026

U.S. BANCORP ADVISORS, LLC

RIA

CRD#: 14455

Tempe, AZ

Past

February 13, 2026 - September 14, 2026

U.S. BANCORP ADVISORS, LLC

CRD#: 14455

Tempe, AZ

Past

July 18, 2024 - February 13, 2026

U.S. BANCORP INVESTMENTS, INC.

RIA

CRD#: 17868

Tempe, AZ

Past

July 8, 2024 - February 13, 2026

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

Tempe, AZ

Past

November 17, 2023 - July 3, 2024

U.S. BANCORP ADVISORS, LLC

RIA

CRD#: 14455

TEMPE, AZ

Past

November 14, 2023 - July 3, 2024

U.S. BANCORP ADVISORS, LLC

CRD#: 14455

TEMPE, AZ

Past

August 16, 2023 - October 2, 2023

WALTON RE SECURITIES, LLC

CRD#: 172024

SCOTTSDALE, AZ

Past

June 23, 2023 - August 16, 2023

VANGUARD ADVISERS, INC.

RIA

CRD#: 106715

Scottsdale, AZ

Past

March 15, 2023 - August 16, 2023

VANGUARD MARKETING CORPORATION

CRD#: 7452

SCOTTSDALE, 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".

U.S. BANCORP ADVISORS, LLC

CRD#: 14455 / SEC#: 801-70084, 8-30706

RIA

Registered Investment Advisory firm - SEC (8/14/2009 Approved)

California

Registered Investment Advisory firm - SEC (8/28/2009 Terminated)

Washington

Registered Investment Advisory firm - SEC (8/24/2009 Terminated)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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.

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

What does exam status mean?

State Security Law Exam

Series 66

Status Unavailable

Passed: 6/16/2023

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Status Unavailable

Passed: 3/15/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Status Unavailable

Passed: 12/5/2022

Securities Industry Essentials Examination

Current Firm

U.S. BANCORP ADVISORS, LLC

CRD#: 14455 / SEC#: 801-70084, 8-30706

RIA

Registered Investment Advisory firm - SEC (8/14/2009 Approved)

California

Registered Investment Advisory firm - SEC (8/28/2009 Terminated)

Washington

Registered Investment Advisory firm - SEC (8/24/2009 Terminated)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

60 Livingston Ave Ep-mn-n2wc, Saint Paul, MN 55107

Mailing Address

60 Livingston Ave Ep-mn-n2wc, St. Paul, MN 55107

Phone number

(800) 634-1100

Established

Delaware since 06/28/2004

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

379

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

USBA WRAP BROCHURE - PART 2A APPENDIX 1 (7/31/2026)

PART 2A OF FORM ADV - FINANCIAL PLANNING SERVICES (3/31/2026)

Direct owners and executive officers

Name	Position	CRD#
U.S. BANCORP	SOLE MEMBER
ARIAS, CARLOS ALONSO	MANAGER	3174333
BEJASA, EILEEN	MANAGER	7002808
CLARK, SHANNON KEITH	CHIEF FINANCIAL OFFICER AND MANAGER	5829700
FERGUSON, KIMBERLY NICOLE	MANAGER	4120145
FLOUM, JOEL IRA	MANAGER	2405754
MCCARTHY, MATTHEW RYAN	CHIEF LEGAL OFFICER	6818984
MENACHER, EILEEN RENEE	MANAGER	4929896
ROLLAND, JODI THOMPSON	PRESIDENT, CHIEF EXECUTIVE OFFICER AND MANAGER	2290884
SALSTROM, KYLE NORMAN	CHIEF COMPLIANCE OFFICER AND MANAGER	5025315
STEINER, STEPHEN WARD	CHIEF OPERATIONS OFFICER AND MANAGER	2259345
TRIPLETT, SHANE T	MANAGER	1865319

Regulatory assets under management

Total Number of Accounts	3,992
AUM (Assets Under Management)	$ 1,796,069,079

Disclosures

Regulatory Event	4
Arbitration	1

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/19/2025	Cover Page	Report
08/20/2024	Cover Page	Report
11/28/2023	Cover Page	Report
11/21/2023	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.

Similar Advisors

Guy Peel

OSAIC WEALTH, INC.

IAR

HELENA, MT

Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

IAR

ESTERO, FL

Jeffrey Meotti

MORGAN STANLEY

IAR

MADISON, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Alex I. Lopez

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

U.S. BANCORP ADVISORS, LLC

U.S. BANCORP INVESTMENTS, INC.

U.S. BANCORP INVESTMENTS, INC.

U.S. BANCORP ADVISORS, LLC

U.S. BANCORP ADVISORS, LLC

WALTON RE SECURITIES, LLC

VANGUARD ADVISERS, INC.

VANGUARD MARKETING CORPORATION

Primary Firm SEC Registration

U.S. BANCORP ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Passed: 6/16/2023

Series 7TO

Passed: 3/15/2023

SIE

Passed: 12/5/2022

Current Firm

U.S. BANCORP ADVISORS, LLC

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

U.S. BANCORP ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors