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Noe Lopez

Capital Client Group, Inc.

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About Noe Lopez

Noe Lopez is a financial advisor who has been in the industry since November 2002. Noe is currently registered with Capital Client Group, Inc. in San Antonio, Texas. Noe is also registered as an investment advisor representative in Texas. Prior to joining Capital Client Group, Inc., Noe was registered with Frost Brokerage Services, Inc. and several other firms. Noe holds the Series 6, 7, 63, 66 and SIE licenses. Noe is available to provide financial advice to individuals, high net worth individuals, corporations, other businesses, and other investment advisors.

Firm Information

Noe Lopez is currently registered with Capital Client Group, Inc.. Capital Client Group, Inc. is a corporation established in 1972 and headquartered in Los Angeles, California. The firm provides various investment advisory services, including recommending affiliate as an investment advisor of SMA assets. They primarily serve corporations, individuals, insurance companies, investment companies, and other investment advisors. The firm is registered with the SEC and in 53 states.
Capital Client Group, Inc.

333 SOUTH HOPE STREET

LOS ANGELES, CA 90071-1406

Not reported

Assets Under Management

Not reported

Total Clients

619

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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recommending affiliate as investment adviser of sma assets

Recommending affiliate as investment adviser of sma assets

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

As agreed upon in a manner that covers registrant's costs

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Noe Lopez’s Registration & Firm History

TX

08/20/2024 - Present

Capital Client Group, Inc. (SAN ANTONIO TX)

TX

02/20/2008 - 08/09/2024

FROST BROKERAGE SERVICES, INC. (SAN ANTONIO TX)

TX

09/11/2007 - 02/08/2008

UVEST FINANCIAL SERVICES GROUP, INC. (CORPUS CHRISTI TX)

TX

03/29/2006 - 09/12/2007

CAPITAL ONE INVESTMENTS, LLC (CORPUS CHRISTI TX)

TX

12/08/2004 - 03/16/2006

WELLS FARGO INVESTMENTS, LLC (CORPUS CHRISTI TX)

IL

11/25/2002 - 10/19/2004

STATE FARM VP MANAGEMENT CORP. (BLOOMINGTON IL)

MA

04/26/2002 - 07/10/2002

METLIFE SECURITIES INC. (SPRINGFIELD MA)

NY

04/26/2002 - 07/10/2002

METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 01/07/2006

Series 66 - Uniform Combined State Law Examination

BC

Issued 06/07/2002

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/25/2005

Series 7 - General Securities Representative Examination

BC

Issued 04/25/2002

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Noe Lopez. Review regulatory record here.
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