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Francisco E Lopez

U.S. Bancorp Advisors, LLC

Ventura, CA

Oxnard, CA

Port Hueneme, CA

Camarillo, CA

Santa Paula, CA

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Current Employers
U.S. Bancorp Advisors, Llc

60 Livingston Ave Ep-Mn-N2Wc, Saint Paul, MN 55107 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-04-05
CA RA APPROVED 2016-05-17
  • TX RA
    APPROVED_RES
    Since 2021-04-05
  • CA RA
    APPROVED
    Since 2016-05-17

Branch Locations

576 S Mills Rd, Ventura, CA 93003 • United States

400 E Esplanade Dr, Oxnard, CA 93030 • United States

583 W Channel Islands Blvd, Port Hueneme, CA 93041 • United States

2310 E Ponderosa Dr, Camarillo, CA 93010 • United States

634 E Main St, Santa Paula, CA 93060 • 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 Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
U.S. Bancorp Advisors, Llc Ventura CA 05/2016 Present
Previous Registrations
  • 2014-10-03 → 2016-04-27
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Oxnard, CA
    Oxnard, CA
    Oxnard, CA
    Santa Monica, CA
    Port Hueneme, CA
    Camarillo, CA
    Santa Clarita, CA
    Oxnard, CA
    Camarillo, CA
  • 2012-11-08 → 2013-04-24
    Osaic Services, Inc.
    Camarillo, CA
  • 2012-01-09 → 2012-07-10
    Chase Investment Services Corp.
    Oxnard, CA
    Santa Paula, CA
    Ventura, CA
  • 2011-08-01 → 2011-11-23
    Valic Financial Advisors, Inc.
    Woodland Hills, CA
  • 2011-01-03 → 2011-02-23
    Wells Fargo Clearing Services, Llc
    Oxnard, CA
  • 2006-06-19 → 2011-01-03
    Wells Fargo Investments, Llc
    Oxnard, CA
    Oxnard, CA
    Westlake Village, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-06-16
  • S66 Uniform Combined State Law Examination
    2006-06-16
Other Names
  • Francisco Lopez

View on SEC IAPD

Other Firms

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VERUS CAPITAL PARTNERS, LLC
TLG ADVISORS, INC.
J.P. MORGAN SECURITIES LLC
VENTURA COAST WEALTH MANAGEMENT
PFS INVESTMENTS INC.

Other Investors

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ERIC SHANNON SMITH
Ankita Maitra
THOMAS PATRICK CARROLL
JASON BENJAMIN DOW
Scott Anthony Holder
Jonathan P Johnen
Sarah Saito

Other Offices

COMMONWEALTH FINANCIAL NETWORK · VENTURA, CA
LPL FINANCIAL LLC · VENTURA, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · VENTURA, CA
VERUS CAPITAL PARTNERS, LLC · Ventura, CA
TLG ADVISORS, INC. · Ventura, CA
J.P. MORGAN SECURITIES LLC · VENTURA, CA
VENTURA COAST WEALTH MANAGEMENT · VENTURA, CA
LPL FINANCIAL LLC · VENTURA, CA

More in Ventura, CA

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