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Jimmy Joel Lopez

Cetera Investment Advisers LLC

Pasadena, CA

San Diego, CA

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Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2019-06-19
  • CA RA
    APPROVED
    Since 2019-06-19

Branch Locations

155 North Lake Avenue Suite 430, Pasadena, CA 91101 • United States

San Diego, CA • 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
OrganizationCityStateFromTo
Foresters Financial Services Monrovia CA 12/2015 01/2017
Foresters Financial Services Monrovia CA 01/2017 Present
Foresters Advisory Services Monrovia CA 02/2019 Present
Cetera Investment Services Llc Monrovia CA 06/2019 Present
Cetera Investment Advisers Llc Monrovia CA 06/2019 Present
  • 12/2015 → 01/2017
    Foresters Financial Services
    Monrovia, CA
  • 01/2017 → Present
    Foresters Financial Services
    Monrovia, CA
  • 02/2019 → Present
    Foresters Advisory Services
    Monrovia, CA
  • 06/2019 → Present
    Cetera Investment Services Llc
    Monrovia, CA
  • 06/2019 → Present
    Cetera Investment Advisers Llc
    Monrovia, CA
Previous Registrations
  • 2019-03-08 → 2019-06-21
    Foresters Advisory Services, Llc
    Monrovia, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-02-06
S63 Uniform Securities Agent State Law Examination 2015-08-13
  • S65 Uniform Investment Adviser Law Examination
    2019-02-06
  • S63 Uniform Securities Agent State Law Examination
    2015-08-13
Other Names
  • Jimmy Joel Lopez
  • Jimmy Joel Lopez

View on SEC IAPD

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