Joaquin C. Lopez

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
PA	RA	APPROVED	2023-03-03

PA RA
APPROVED

Since 2023-03-03

Branch Locations

2009 Mackenzie Way, Suite 100 Office 175, Cranberry Twp, PA 16066 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Lincoln Investments	Sewickley	PA	01/2000	03/2023
Lpl Financial Llc	Cranberry Twp	PA	03/2023	Present

01/2000 → 03/2023

Lincoln Investments

Sewickley, PA
03/2023 → Present

Lpl Financial Llc

Cranberry Twp, PA

Previous Registrations

2011-06-09 → 2023-03-02

Lincoln Investment

Wexford, PA

Pittsburgh, PA

Other Businesses

1) 01/25/2023 - Lopez Wealth Management, Inc. - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s). 2) 01/25/2023 - Lopez Wealth Management, Inc - Non-Variable Insurance - Selling: Fixed term and UL life insurance - Underwriters Brokerage - Harmony, PA 16037 - Investment related - 5 Hours per month - Start date: 01/06/2023.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2000-01-27

S63 Uniform Securities Agent State Law Examination

2000-01-27

Other Names

Jack Lopez

View on SEC IAPD