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Harvey Lopez

LPL Financial LLC
28 Years of Experience
Mcallen, TX
2 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Harvey Lopez is a registered investment advisor at LPL Financial LLC, based in Mcallen, TX, with 28 years of industry experience. Harvey 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

520 E Nolana Ave Ste 120, Mcallen, TX, 78504-2682

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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
June 2006
Settled
Customer Dispute
February 2006
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Harvey sells fixed insurance and group benefits outside of Cetera, contracting with multiple insurance companies and an insurance broker. This activity is insurance-related.

Employment History
Current Registrations
LPL Financial LLC
August 2026 - Present · 2 mos
LPL Financial LLCBroker
August 2026 - Present · 2 mos
Previous Registrations
Cetera Investment Advisers LLC
April 2023 - August 2026 · 3 yrs 4 mos
Cetera Investment Services LLCBroker
April 2023 - August 2026 · 3 yrs 4 mos
LPL Financial LLCBroker
August 2012 - May 2023 · 10 yrs 9 mos
LPL Financial LLC
August 2012 - May 2023 · 10 yrs 9 mos
Bbva Wealth Solutions INC.
October 2010 - August 2012 · 1 yr 10 mos
St Johns Wealth Management
September 2010 - October 2010 · 1 mo
Bbva Compass Investment Solutions, INCBroker
August 2010 - August 2012 · 2 yrs
Chase Investment Services CORP.
September 2006 - July 2010 · 3 yrs 10 mos
Chase Investment Services CORP.Broker
June 2006 - July 2010 · 4 yrs 1 mo
Capital One Investments, LLCBroker
June 2004 - June 2006 · 2 yrs
Ifmg Securities, INC.Broker
April 2001 - June 2004 · 3 yrs 2 mos
Metlife Securities INC.Broker
January 2000 - May 2001 · 1 yr 4 mos
Metropolitan Life Insurance CompanyBroker
January 2000 - May 2001 · 1 yr 4 mos
Wma Securities, INC.Broker
January 1997 - December 1998 · 1 yr 11 mos
State Registrations3 states
SCTNTX
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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