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CFP
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CFP

Lopez Davis

LPL Financial LLC
36 Years of Experience
Charlotte, NC
2 DisclosuresBroker
View SEC Summary
View SEC Summary

Lopez Davis is a CFP-designated registered investment advisor at LPL Financial LLC, based in Charlotte, NC, with 36 years of industry experience. Lopez is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

1915 Back Creek Dr, Charlotte, NC, 28213

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
November 2003
Denied
Criminal
January 1979
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Lopez operates as Truliant Financial Advisors, a DBA for their LPL business, since April 2025. This activity is investment-related and consumes nearly full-time hours, with a significant portion dedicated to trading.

Employment History
Current Registrations
LPL Financial LLCBroker
May 2025 - Present · 1 yr 5 mos
LPL Financial LLC
May 2025 - Present · 1 yr 5 mos
Previous Registrations
Cuso Financial Services, L.P.Broker
July 2019 - May 2025 · 5 yrs 10 mos
Cuso Financial Services, L.P.
July 2019 - May 2025 · 5 yrs 10 mos
CUNA Brokerage Services, INC.
July 2015 - July 2019 · 4 yrs
CUNA Brokerage Services, INC.Broker
July 2015 - July 2019 · 4 yrs
Ftb Advisors, INC.
October 2013 - June 2015 · 1 yr 8 mos
Ftb Advisors, INC.
December 2011 - October 2013 · 1 yr 10 mos
Ftb Advisors, INC.Broker
December 2010 - June 2015 · 4 yrs 6 mos
Ftb Advisors, INC.
November 2010 - March 2012 · 1 yr 4 mos
Wachovia Securities, LLC
October 2003 - December 2005 · 2 yrs 2 mos
Wachovia Securities, LLCBroker
October 2000 - December 2005 · 5 yrs 2 mos
First Union Brokerage Services, INC.Broker
April 1987 - October 2000 · 13 yrs 6 mos
Ids Marketing CorporationBroker
September 1984 - April 1986 · 1 yr 7 mos
Ids Financial Services INC.Broker
September 1984 - April 1986 · 1 yr 7 mos
State Registrations10 states
FLGALAMANCNDSCTNVAWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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