linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Jose Alberto Lopez

Cetera Advisors LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Jose? Claim Your Profile

About Jose Alberto Lopez

Jose Alberto Lopez is a financial advisor with over 10 years of experience in the industry. Jose is currently registered with Cetera Advisors LLC, Cetera Financial Specialists LLC, Cetera Advisor Networks LLC and Cetera Investment Services LLC. Prior to that, Jose worked at First Allied Securities, Inc., Emerson Equity LLC, Ascend Alternative Strategies, LLC, Morgan Stanley, Atel Securities Corporation, Forethought Distributors, LLC, Realty Capital Securities, LLC, FS2 Capital Partners, LLC and Legg Mason Investor Services, LLC. Jose holds Series 63, 66, 7 and SIE licenses.

Firm Information

Jose Lopez is currently registered with Cetera Advisors LLC. Cetera Advisors LLC is a Limited Liability Company formed on August 31, 2012. It is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has 14 Regulatory Event disclosures, 1 Civil Event disclosure, and 7 Arbitration disclosures on file.

Not reported

Assets Under Management

Not reported

Total Clients

467

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.

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.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Jose Lopez’s Registration & Firm History

CA

06/30/2022 - Present

Cetera Advisors LLC (EL SEGUNDO CA)

CA

06/30/2022 - 09/08/2022

FIRST ALLIED SECURITIES, INC. (SAN DIEGO CA)

CA

04/08/2020 - 12/15/2020

EMERSON EQUITY LLC (SAN MATEO CA)

CA

07/20/2018 - 11/21/2019

EMERSON EQUITY LLC (SAN MATEO CA)

TX

02/28/2018 - 06/06/2018

ASCENDANT ALTERNATIVE STRATEGIES, LLC (Austin TX)

PA

06/13/2016 - 02/05/2018

MORGAN STANLEY (WYOMISSING PA)

CA

06/16/2015 - 03/23/2016

ATEL SECURITIES CORPORATION (SAN FRANCISCO CA)

PA

05/01/2015 - 06/17/2015

FORETHOUGHT DISTRIBUTORS, LLC (BERWYN PA)

NY

11/05/2010 - 02/17/2015

REALTY CAPITAL SECURITIES, LLC (NEW YORK CITY NY)

PA

02/10/2010 - 10/29/2010

FS2 CAPITAL PARTNERS, LLC (PHILADELPHIA PA)

CT

09/14/2007 - 05/04/2009

LEGG MASON INVESTOR SERVICES, LLC (STAMFORD CT)

Not sure if Jose Alberto Lopez is right for you?

Licenses & Designations

BOTH

Issued 06/23/2016

Series 66 - Uniform Combined State Law Examination

BC

Issued 12/19/2007

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/13/2007

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Jose Alberto Lopez. Review regulatory record here.
Not sure if Jose Alberto Lopez is right for you?