Jose Emanuel Gomes Lopes

Employer firm

Cwm, LLC CRD 155344

$50.6B regulatory AUM 248 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Selection of other advisers
• SUB-ADVISORY SERVICES FOR OTHER INVESTMENT ADVISORY FIRMS

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2015 → 07/2017
  Principal Life Insurance Company
  Pawtucket, RI
• 05/2015 → 07/2017
  Princor Financial Services Corporation
  Pawtucket, RI
• 08/2017 → 08/2022
  Securian Financial Services, Inc.
  St. Paul, MN
• 08/2017 → 08/2022
  Minnesota Life Insurance Co.
  St. Paul, MN
• 08/2017 → 08/2022
  Securian Advisors Of New England
  Mansfield, MA
• 08/2022 → 09/2023
  Sagepoint Financial
  Braintree, MA
• 09/2023 → 12/2024
  Osaic Wealth, Inc.
  Cranston, RI
• 01/2025 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 01/2025 → Present
  Cwm, Llc Dba Carson Partners
  Foxborough, MA
• 01/2025 → Present
  Dc Advisors, Llc
  Foxborough, MA
• 01/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2023-09-01 → 2025-01-06
  Osaic Wealth, Inc.
  Needham Heights, MA
• 2022-08-02 → 2023-09-01
  Osaic Services, Inc.
  Braintree, MA
  Cranston, RI
• 2017-09-11 → 2022-08-19
  Securian Financial Services, Inc.
  Braintree, MA
• 2015-06-08 → 2017-08-18
  Principal Securities, Inc.
  Pawtucket, RI
  Pawtucket, RI
  Waltham, MA
• 2010-03-11 → 2015-05-07
  Mml Investors Services, Llc
  North Scituate, RI
  Central Falls, RI
  Riverside, RI
  Warren, RI
  West Warwick, RI
  Riverside, RI
  Warren, RI
  West Warwick, RI

Other Businesses

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 08/2007; APX NUMBER OF HOURS PER WEEK: 4; APX NUMBER OF HOURS DURING TRADING HOURS: 4; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 2. NAME OF OTHER BUSINESS: CWM, LLC DBA CARSON PARTNERS - CRD # 155344; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: SEC REGISTERED INVESTMENT ADVISORY FIRM THAT PROVIDES PORTFOLIO MANAGEMENT, FINANCIAL PLANNING, ESTATE PLANNING, AND ADDITIONAL ADVISORY SERVICES; START DATE: 12/2024; POSITION/TITLE/RELATIONSHIP: WEALTH ADVISOR / INVESTMENT ADVISOR REPRESENTATIVE; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32; BRIEF DESCRIPTION OF DUTIES: PROVIDING ADVISORY SERVICES WHEN NEEDED. 3. NAME OF OTHER BUSINESS: PAWTUCKET CENTRAL FALLS DEVELOPMENT; INVESTMENT RELATED: NO; ADDRESS: PAWTUCKET, RI 02860; NATURE OF BUSINESS: NON-PROFIT ORGANIZATION; START DATE: 04/2021; POSITION/TITLE/RELATIONSHIP: TREASURER / MEMBER OF THE FINANCE COMMITTEE; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: REVIEW OVERALL ORGANIZATIONAL COMMITMENTS AND PROVIDE BOARD OPINIONS. I DO NOT EXECUTE FINANCIAL TRANSACTIONS; 4. NAME OF OTHER BUSINESS: CWM, LLC DBA CARSON WEALTH; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: DBA FOR FINANCIAL SERVICES; START DATE: 12/2024; POSITION/TITLE/RELATIONSHIP: WEALTH ADVISOR; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32; BRIEF DESCRIPTION OF DUTIES: PROVIDING BROKERAGE AND ADVISORY SERVICES WHEN NEEDED.; 5. NAME OF OTHER BUSINESS: DC ADVISORS, LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: DBA FOR PAYROLL PURPOSES; START DATE: 12/2024; POSITION/TITLE/RELATIONSHIP: WEALTH ADVISOR; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32; BRIEF DESCRIPTION OF DUTIES: PROVIDING BROKERAGE AND ADVISORY SERVICES WHEN NEEDED. THIS DBA IS FOR PAYROLL PURPOSES ONLY;

Exams

• S63 Uniform Securities Agent State Law Examination
  2008-02-29

Designations

• Chartered Financial Consultant

Other Names

• Jose Emanuel Gomes Lopes
• Jose Lopes
• Jose G. Lopes
• Jose E Lopes
• Joe Emanuel Gomes Lopes
• Joe Lopes