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Nicole Ann Lopez

Broadway Wealth Solutions

San Antonio, TX

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Current Employers
Broadway Wealth Solutions

1177 N.E. Loop 410 5Th Floor, San Antonio, TX 78209 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2021-07-01
  • TX RA
    APPROVED
    Since 2021-07-01

Branch Locations

1177 N.E. Loop 410 5Th Floor, San Antonio, TX 78209 • 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
Broadway Wealth Solutions San Antonio TX 06/2021 Present
Broadway Wealth Solutions, Inc. San Antonio TX 01/2021 Present
Imperium Wealth Management San Antonio TX 02/2019 12/2020
Sa Promotions San Antonio TX 10/2018 11/2018
Chase San Antonio TX 12/2017 10/2018
Southern Glazer's Wine & Spirits San Antonio TX 01/2017 10/2017
Texas State University - Math Dept San Marcos TX 01/2015 12/2016
  • 06/2021 → Present
    Broadway Wealth Solutions
    San Antonio, TX
  • 01/2021 → Present
    Broadway Wealth Solutions, Inc.
    San Antonio, TX
  • 02/2019 → 12/2020
    Imperium Wealth Management
    San Antonio, TX
  • 10/2018 → 11/2018
    Sa Promotions
    San Antonio, TX
  • 12/2017 → 10/2018
    Chase
    San Antonio, TX
  • 01/2017 → 10/2017
    Southern Glazer's Wine & Spirits
    San Antonio, TX
  • 01/2015 → 12/2016
    Texas State University - Math Dept
    San Marcos, TX
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-04-21
  • S65 Uniform Investment Adviser Law Examination
    2021-04-21

View on SEC IAPD

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Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAN ANTONIO, TX
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAN ANTONIO, TX
1900 WEALTH · SAN ANTONIO, TX
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PARK AVENUE SECURITIES LLC · SAN ANTONIO, TX
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