Enrique Lopez

Employer firm

Arkadios Wealth Advisors CRD 288863

$8.79B regulatory AUM

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Pension consulting

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

Current Employers

Arkadios Wealth Advisors

2827 Peachtree Rd Ne, Suite 510, Atlanta, GA 30305 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2018-12-07

TX RA
APPROVED

Since 2018-12-07

Branch Locations

Mission, TX • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

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

Employment History

Organization	City	State	From	To
Lpl Financial	Pharr	TX	03/2008	07/2018
Lone Star National Bank	Pharr	TX	03/2008	07/2018
Arkadios Capital	Atlanta	GA	08/2018	Present
Arkadios Wealth Advisors	Atlanta	GA	09/2018	Present

03/2008 → 07/2018

Lpl Financial

Pharr, TX
03/2008 → 07/2018

Lone Star National Bank

Pharr, TX
08/2018 → Present

Arkadios Capital

Atlanta, GA
09/2018 → Present

Arkadios Wealth Advisors

Atlanta, GA

Previous Registrations

2008-03-13 → 2018-08-08

Lpl Financial Llc

Mcallen, TX

Pharr, TX

San Diego, CA
2003-05-28 → 2008-03-10

Raymond James Financial Services, Inc.

Pharr, TX

Pharr, TX
1999-06-03 → 2003-04-28

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Mcallen, TX

Other Businesses

1. 12/14/2011: CRISTOBAL EDEN PARTNERS, LLC - INVESTMENT RELATED - BUSINESS ENTITY FOR TAX/INVESTMENT PURPOSES ONLY - 0 HOURS/MONTH - HOLDING COMPANY CREATED FOR THE SOLE PURPOSE OF SEPARATING ASSETS AWAY FROM OUR PERSON. NO EMPLOYEES, NO OPERATING ACCOUNTS. FAMILY LIMITED PARTNERSHIP TO HOLD FAMILY ASSETS. 2. 12/30/2011: LOPEZ BROTHERS DISTRIBUTION, LLC - NOT INVESTMENT RELATED - OTHER-FAMILY BUSINESS - 5 HOURS/MONTH OUTSIDE OF SECURITIES TRADING HOURS- BATTERY DISTRIBUTION/WHOLESALE. OWNER - MANAGE OVERALL OPERATION DUTIES INCLUDE BUT NOT LIMITED TO EMPLOYMENT, GROWTH STRATEGIES, GOAL SETTING. 3. 04/12/2016; GALLOP INVESTMENT PARTNERS, LLC; Business Entity For Tax/Investment Purposes Only; NOT INVESTMENT RELATED; AT REPORTED BUSINESS LOCATION(S); START DATE 04/01/2016; BUY AND SELL "FLIP" REAL ESTATE; 5 HRS/MO; 0 HRS DURING SECURITIES TRADING HRS. 4. 9/13/2017 - Cordero Diego, LLC - Investment Related - Pharr, TX - Commercial Real Estate Rental Properties & other investment holdings - Started 09/27/2006 - 1 Hours Per Month - Rental income from leased commercial property. 5. Trivium Asset Management Partners, LLC, Investment related, 11743 Deepwater Ridge Way, Cypress TX 77433, Nature; Wealth Management, Started 1/11/2025, 160 hours/month, 1 hour/month during security trading hours. Business duty description: Group Shared Revenue.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	1999-06-01
S63	Uniform Securities Agent State Law Examination	1994-09-23

S66 Uniform Combined State Law Examination

1999-06-01
S63 Uniform Securities Agent State Law Examination

1994-09-23

Other Names

Rick Lopez

View on SEC IAPD