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James Alan Lopes

HBW Advisory Services LLC

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About James Alan Lopes

James Alan Lopes is a financial advisor with HBW Advisory Services LLC. James is registered with the state of California and specializes in financial planning, portfolio management for individuals and businesses, and educational seminars. James also offers selection of other advisors.

Firm Information

James Lopes is currently registered with HBW Advisory Services LLC. HBW Advisory Services LLC is a financial advisor based in Simi Valley, CA. The firm provides a range of services, including financial planning, portfolio management, and educational seminars. HBW Advisory Services serves a variety of clients, including individuals, corporations, and high-net-worth individuals. They have over 60 investment advisor representatives and 55 licensed agents, and manage over $1.4 billion in assets.
HBW Advisory Services LLC

2655 1ST STREET

SIMI VALLEY, CA 93065

$1.48B

Assets Under Management

15

Total Clients

56

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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James Lopes’s Registration & Firm History

CA

02/21/2013 - Present

HBW Advisory Services LLC (SANT ROSA CA)

CA

06/26/2017 - 12/31/2022

CETERA ADVISOR NETWORKS LLC (SANTA ROSA CA)

CA

01/20/2006 - 07/24/2017

HBW SECURITIES LLC (SANTA ROSA CA)

AZ

06/22/2004 - 12/31/2005

AMERICAN GENERAL SECURITIES INCORPORATED (PHOENIX AZ)

GA

01/06/1986 - 06/01/2004

PFS INVESTMENTS INC. (DULUTH GA)

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Licenses & Designations

IA

Issued 02/14/2013

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/26/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/19/1995

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/31/1985

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for James Alan Lopes.
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