James Alan Lopes

Current Employers

Employment History

• 01/2006 → 06/2017
  Hbw Securities Llc
  Simi Valley, CA
• 05/2004 → Present
  Hbw Insurance And Financial Services, Inc.
  Simi Valley, CA
• 04/2007 → Present
  Lopes Financial Services
  Santa Rosa, CA
• 02/2013 → Present
  Hbw Advisory Services Llc
  Simi Valley, CA
• 06/2017 → 12/2022
  Cetera Advisor Networks, Llc
  El Segundo, CA

Previous Registrations

• 2017-07-08 → 2020-10-19
  Cetera Wealth Services, Llc
  Santa Rosa, CA

Other Businesses

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 4/2017 APX NUMBER OF HOURS PER WEEK: 4 APX NUMBER OF HOURS DURING TRADING HOURS: 4 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES, AND LONG TERM CARE 2. NAME OF OTHER BUSINESS: HBW PARTNERS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: INSURANCE AND FINANCIAL SERVICES START DATE: 6/2004 POSITION/TITLE/RELATIONSHIP: AGENT-INSURANCE SALES APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: 5 BRIEF DESCRIPTION OF DUTIES: AGENT-INSURANCE SALES 3. NAME OF OTHER BUSINESS: LOPES FINANCIAL SERVICES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: INSURANCE AND FINANCIAL SERVICES START DATE: 4/2007 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: DAY TO DAY OPERATIONS OF RUNNING THE BUSINESS 4. ENCORE ESTATE PLANS, ESTATE PLANS DOCUMENTARY PREPERATION, REFER CLIENTS FOR ESTATE PLANNING AND TRUST DOCUMENT CREATIONS

Exams

• S65 Uniform Investment Adviser Law Examination
  2013-02-14
• S63 Uniform Securities Agent State Law Examination
  2004-10-26