Jose Lopez
Jose Lopez is a registered investment advisor at Cetera Investment Advisers LLC, based in Oak Brook, IL, with 38 years of industry experience. Jose operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Location
1200 Harger Road, Suite 711, Oak Brook, IL, 60523
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Regulatory History (1)
Customer Dispute
October 2004Other Business ActivitiesSells Insurance
Jose is a registered representative for Lopez Financial Advisors, doing business as a financial services provider, and sells fixed insurance products including life, health, disability, annuities, and long-term care, dedicating full-time hours to this. He also serves as President of FBI-Chicago Citizens Academy Alumni Assoc., a board member for Roots and Wings, and provides client assistance to various mortgage lenders, dedicating minimal time to each of these roles.
Employment History
Current Registrations
Cetera Investment Advisers LLC
Cetera Wealth Services, LLCBroker
Previous Registrations
Cetera Advisor Networks LLC
Wrp Investments, INC.Broker
Oberweis Securities, INC.Broker
Securities America, INC.Broker
Berthel, Fisher & Company Financial Services, INC.Broker
Adm Securities, INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
American Express Financial Advisors INC.Broker
Ids Life Insurance CompanyBroker
Kettler & CompanyBroker
Graystone Nash, INC.Broker
J. W. Gant & Associates, INC.Broker
Michelin and Company, INC.Broker
State Registrations18 states
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.