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Joseph Andrew Lopez

Schwab Wealth Advisory, Inc.

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About Joseph Andrew Lopez

Joseph Lopez is a financial advisor with Schwab Wealth Advisory, Inc. with over 8 years of experience in the financial services industry. Joseph Lopez is a CERTIFIED FINANCIAL PLANNER™ professional and is licensed to provide investment advice in Texas. Joseph Lopez has held previous positions with USAA FINANCIAL ADVISORS, INC., NFP SECURITIES, INC. and METLIFE SECURITIES INC.. Joseph Lopez has Series 6, 7, 63 and 65 licenses. Joseph Lopez's current registrations include Texas.

Firm Information

Joseph Lopez is currently registered with Schwab Wealth Advisory, Inc.. Schwab Wealth Advisory, Inc. is an investment advisory firm based in SAN FRANCISCO, CA, United States. The firm provides financial planning and portfolio management services to individuals, businesses, and high-net-worth individuals. They also offer a wrap fee program.
Schwab Wealth Advisory, Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105-1901

Not reported

Assets Under Management

141,801

Total Clients

904

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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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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other

Swa program paid by wrap sponsor pursuant to cost plan formula.

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Joseph Lopez’s Registration & Firm History

TX

06/23/2021 - Present

Schwab Wealth Advisory, Inc. (Austin TX)

TX

06/10/2014 - 05/24/2020

USAA FINANCIAL ADVISORS, INC. (SAN ANTONIO TX)

TX

02/15/2013 - 05/27/2014

NFP SECURITIES, INC. (AUSTIN TX)

TX

01/16/2012 - 02/04/2013

METLIFE SECURITIES INC. (AUSTIN TX)

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Licenses & Designations

IA

Issued 07/03/2014

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 06/22/2012

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/20/2014

Series 7 - General Securities Representative Examination

BC

Issued 01/14/2012

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 Joseph Andrew Lopez.
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