Carlos J F Lopez

Employer firm

Creative Planning CRD 105348

$296B regulatory AUM 1,767 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (pooled vehicles)
Portfolio management (institutions)
Pension consulting
Selection of other advisers

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

Current Employers

Creative Planning

5454 W. 110Th Street, Overland Park, KS 66211 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2023-08-28
WA	RA	APPROVED	2014-07-24

TX RA
APPROVED

Since 2023-08-28
WA RA
APPROVED

Since 2014-07-24

Branch Locations

Sammamish, WA • United States

5454 W. 110Th Street, Overland Park, KS 66211 • 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
Creative Planning	Sammamish	WA	07/2014	Present

07/2014 → Present

Creative Planning

Sammamish, WA

Previous Registrations

2004-03-05 → 2014-07-09

Strategic Advisers Llc

Salt Lake City, UT

Boston, MA

Salt Lake City, UT
2004-03-05 → 2007-03-28

Fidelity Personal Trust Company, Fsb

Boston, MA
2003-04-03 → 2004-02-23

Tower Square Securities, Inc.

Salt Lake City, UT
1998-09-23 → 2002-11-22

Strategic Advisers Llc

Boston, MA

Other Businesses

Turtle Shell LLC, Sammamish, WA - Not Investment Related. Position: Manager, investment properties and rentals. Start date: March 2017. Approximately 2 hrs. per month, none during trading hours.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1998-02-03
S63	Uniform Securities Agent State Law Examination	1993-09-14

S65 Uniform Investment Adviser Law Examination

1998-02-03
S63 Uniform Securities Agent State Law Examination

1993-09-14

Designations

Certified Financial Planner

Other Names

Carlos Jf Lopez

View on SEC IAPD