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Eliezer B Lopez

LPl Financial LLC

Ceres, CA

San Jose, CA

CRD 3228617

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Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Educational seminars
  • CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2019-05-09
CA RA APPROVED 2012-05-23
  • TX RA
    APPROVED_RES
    Since 2019-05-09
  • CA RA
    APPROVED
    Since 2012-05-23

Branch Locations

Ceres, CA • United States

99 Almaden Blvd #925, San Jose, CA 95113 • 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
Lpl Financial San Jose CA 03/2012 Present
  • 03/2012 → Present
    Lpl Financial
    San Jose, CA
Previous Registrations
Other Businesses

(1) 5/11/2012: DBA ONLY - SEQUOIA WEALTH ADVISORS & INVESTMENT MANAGEMENT, INC. - SAN JOSE, CA

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-07-18
S63 Uniform Securities Agent State Law Examination 2000-05-25
  • S65 Uniform Investment Adviser Law Examination
    2000-07-18
  • S63 Uniform Securities Agent State Law Examination
    2000-05-25
Other Names
  • Eliezer Lopez
  • Eli Lopez-Bustamante
  • Eli Lopez

View on SEC IAPD

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