Michael David Lopez

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
AZ	RA	APPROVED	2025-07-10
CA	RA	APPROVED	2025-07-10

AZ RA
APPROVED

Since 2025-07-10
CA RA
APPROVED

Since 2025-07-10

Branch Locations

Buckeye, AZ • 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
Next Financial Group	Buckeye	AZ	03/2015	07/2025
Lpl Financial Llc	Buckeye	AZ	07/2025	Present

03/2015 → 07/2025

Next Financial Group

Buckeye, AZ
07/2025 → Present

Lpl Financial Llc

Buckeye, AZ

Previous Registrations

2020-08-17 → 2025-07-10

Next Financial Group, Inc.

Newport Beach, CA

Glendora, CA

Buckeye, AZ
2015-03-10 → 2020-06-01

Next Financial Group, Inc.

Newport Beach, CA

Glendora, CA

Phoenix, AZ
2012-11-30 → 2015-03-04

Independent Financial Group, Llc

San Diego, CA

Glendora, CA
2011-07-11 → 2012-12-04

Osaic Services, Inc.

Phoenix, AZ

La Mesa, CA

Other Businesses

1- 07/2025 - Michael D Lopez - Non-Variable Insurance - Agent - Investment Related - At Reported Business Location(s) - Start Date 03/05/2015 - 20 hours per month/ 8 hours during trading 2- 07/2025 - Alpha Wealth Partners - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 08/05/2020 - 160 hours per month/ 122 hours during trading

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2011-03-04
S63	Uniform Securities Agent State Law Examination	1995-11-03

S65 Uniform Investment Adviser Law Examination

2011-03-04
S63 Uniform Securities Agent State Law Examination

1995-11-03

Designations

Other Names

Michael D Lopez
Michael David Lopez
Michael Lopez

View on SEC IAPD