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ML
CFP · ChFC
ML
CFP · ChFC

Miriam Lopez

Kestra Advisory Services, LLC
33 Years of Experience
Fairfield, NJ
1 DisclosureBroker
View SEC Summary
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Miriam Lopez is a CFP, ChFC-designated registered investment advisor at Kestra Advisory Services, LLC, based in Fairfield, NJ, with 33 years of industry experience. Miriam is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Annuities, Education Planning, Estate Planning, Insurance Planning, and 3 more. Their firm serves 117,403 clients with $80B in assets under management.

Kestra Advisory Services, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1456 advisors
Number of Clients
117,403 clients
Average Client Portfolio
$680K average
Assets Under Management
$79.8B

Fee Structure

Minimum Investment:$10K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

Asset-based fees range up to 2.5% of assets under management and are negotiable based on account size, registration type, and services provided.

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

Location

375 Passaic Ave, Fairfield, NJ, 07004

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History

Regulatory History (1)
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
August 2002
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Miriam is a financial planner with U.S. Financial Services, LLC and an investment advisor representative with Kestra Advisory Services, LLC, dedicating most of her time to these activities. She also works as a Zoom classroom host and a dog sitter, each taking minimal time.

Employment History
Current Registrations
Kestra Advisory Services, LLC
April 2016 - Present · 10 yrs 6 mos
Kestra Investment Services, LLC
June 2010 - Present · 16 yrs 4 mos
Kestra Investment Services, LLCBroker
June 2010 - Present · 16 yrs 4 mos
Previous Registrations
NFP Advisor Services, LLC
June 2010 - September 2016 · 6 yrs 3 mos
New England Securities Corporation
April 2005 - June 2010 · 5 yrs 2 mos
New England SecuritiesBroker
February 2005 - June 2010 · 5 yrs 4 mos
American Express Financial Advisors, INC.
July 2002 - February 2005 · 2 yrs 7 mos
American Express Financial Advisors INC.Broker
September 1993 - February 2005 · 11 yrs 5 mos
Ids Life Insurance CompanyBroker
September 1993 - February 2005 · 11 yrs 5 mos
State Registrations8 states
CADEFLNCNJNYTXWI
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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