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Roberto Lopez

Citigroup Global Markets INC.
29 Years of Experience
Coral Gables, FL
2 DisclosuresBroker
View SEC Summary
View SEC Summary

Roberto Lopez is a registered investment advisor at Citigroup Global Markets INC., based in Coral Gables, FL, with 29 years of industry experience. Roberto is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, High Net Worth, and 3 more. Their firm serves 59,829 clients with $56B in assets under management.

Citigroup Global Markets INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
2402 advisors
IM Fee
Planning only
Assets Under Management
$56.0B

Fee Structure

Citigroup Global Markets provides a comprehensive written financial plan at no direct fee to eligible clients of Citi Private Bank and Citi Global Wealth at Work. The service includes developing a financial profile, analyzing current financial position, and providing recommendations for education, retirement, estate planning, and other long-term goals.

One-Time Plan:$0
View Full SEC Brochure

Location

CWM Retail, Sales, 1190 South Dixie Hwy., Coral Gables, FL, 33146

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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
December 2017
Denied
Customer Dispute
October 2009
Denied
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Citigroup Global Markets INC.
October 2017 - Present · 9 yrs
Citigroup Global Markets INC.Broker
October 2017 - Present · 9 yrs
Citigroup Global Markets INC.
October 2017 - Present · 9 yrs
Previous Registrations
Suntrust Advisory Services, INC.
September 2016 - October 2017 · 1 yr 1 mo
Suntrust Investment Services, INC.
July 2013 - December 2016 · 3 yrs 5 mos
Suntrust Investment Services, INC.Broker
July 2013 - October 2017 · 4 yrs 3 mos
LPL Financial LLC
October 2011 - July 2013 · 1 yr 9 mos
LPL Financial LLCBroker
September 2011 - July 2013 · 1 yr 10 mos
Morgan Keegan & Company, INC.
October 2009 - October 2011 · 2 yrs
Morgan Keegan & Company, INC.Broker
October 2009 - October 2011 · 2 yrs
Uvest Financial Services Group, INC.
March 2007 - October 2009 · 2 yrs 7 mos
Colonial Asset Management INC
February 2007 - October 2009 · 2 yrs 8 mos
Colonial Brokerage, INC.Broker
April 2006 - October 2009 · 3 yrs 6 mos
Wachovia Securities, LLC
January 2006 - March 2006 · 2 mos
Wachovia Securities, LLCBroker
April 2005 - March 2006 · 11 mos
Southtrust Securities, LLCBroker
September 2002 - April 2005 · 2 yrs 7 mos
Wachovia Securities, INC.Broker
October 2000 - September 2002 · 1 yr 11 mos
First Union Brokerage Services, INC.Broker
February 1999 - October 2000 · 1 yr 8 mos
The Equitable Life Assurance Society of the United StatesBroker
November 1996 - January 1999 · 2 yrs 2 mos
Eq Financial Consultants, INC.Broker
November 1996 - January 1999 · 2 yrs 2 mos
State Registrations11 states
ARCACOCTFLGANCNYORPRTN
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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