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Harvey Lopez
28 Years of Experience
Edinburg, TX
2 DisclosuresBrokerSells Insurance
Harvey Lopez is a registered investment advisor at Cetera Investment Advisers LLC, based in Edinburg, TX, with 28 years of industry experience. Harvey 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
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10345 advisors
IM Fee
Planning only
Assets Under Management
$163.8B
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Location
Edinburg, TX
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Regulatory History (2)
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Customer Dispute
June 2006Settled
Customer Dispute
February 2006Settled
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
Cetera Investment Advisers LLC
April 2023 - Present · 3 yrs 5 mos
Cetera Investment Services LLCBroker
April 2023 - Present · 3 yrs 5 mos
Previous Registrations
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.