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Javier Elias Lopez

Charles Schwab & CO., Inc.

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About Javier Elias Lopez

Javier Elias Lopez is a financial advisor who has been in the industry since 2011. Javier is currently registered with Charles Schwab & CO., Inc. and has a Series 6, 7, 63, 66 and SIE licenses. Javier has a total of 22 active state licenses. Javier previously worked at TD Ameritrade, INC., UBS FINANCIAL SERVICES INC., PNC INVESTMENTS, WELLS FARGO ADVISORS, LLC and CHASE INVESTMENT SERVICES CORP.. Javier is a Certified Financial Planner.

Firm Information

Javier Lopez is currently registered with Charles Schwab & CO., Inc.. Charles Schwab & CO., Inc. is a Corporation formed in April 1971, headquartered in San Francisco, California. The firm offers a range of advisory services including financial planning, selection of other advisors, and wrap fee programs. They have a broad client base including individuals, corporations, and other institutions. The firm manages over $50 billion in assets and operates in all 50 states and territories.
Charles Schwab & CO., Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105

Not reported

Assets Under Management

919,128

Total Clients

10,627

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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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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wrap fee program sponsor and financial planning advisor referral program

Wrap fee program sponsor and financial planning advisor referral program

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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other

Asset based fees for wrap pgrms & subsc pricing for fin planning

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Javier Lopez’s Registration & Firm History

NY

01/26/2022 - Present

Charles Schwab & CO., Inc. (New York City NY)

NY

10/10/2016 - 05/19/2024

TD AMERITRADE, INC. (New York City NY)

NJ

09/22/2014 - 07/28/2015

UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)

NJ

04/28/2011 - 09/20/2013

PNC INVESTMENTS (SECAUCUS NJ)

NJ

11/04/2010 - 04/12/2011

WELLS FARGO ADVISORS, LLC (MORRIS PLAINS NJ)

NY

09/19/2008 - 09/10/2010

CHASE INVESTMENT SERVICES CORP. (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 12/06/2014

Series 66 - Uniform Combined State Law Examination

BC

Issued 08/27/2008

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/07/2014

Series 7 - General Securities Representative Examination

BC

Issued 09/17/2008

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Javier Elias Lopez.
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