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Noe Lopez
23 Years of Experience
San Antonio, TX
1 DisclosureBroker
Noe Lopez is a registered investment advisor at Capital Client Group, INC., based in San Antonio, TX, with 23 years of industry experience. Noe operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management.
Compensation
N/A
Firm Size
583 advisors
IM Fee
Planning only
Fee Structure
Investment management only (planning not offered)
Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.
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Location
3500 Wiseman Blvd, San Antonio, TX, 78251-4321
Get directionsHistory
Regulatory History (1)
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Customer Dispute
March 2011Denied
Employment History
Current Registrations
Capital Client Group, INC.
August 2024 - Present · 1 yr 9 mos
Capital Client Group, INC.
August 2024 - Present · 1 yr 9 mos
Capital Client Group, INC.Broker
August 2024 - Present · 1 yr 9 mos
Previous Registrations
Frost Investment Services
January 2022 - August 2024 · 2 yrs 7 mos
Frost Investment Services
September 2017 - December 2021 · 4 yrs 3 mos
Frost Brokerage Services, INC.Broker
February 2008 - August 2024 · 16 yrs 6 mos
Uvest Financial Services Group, INC.
September 2007 - February 2008 · 5 mos
Uvest Financial Services Group, INC.Broker
September 2007 - February 2008 · 5 mos
Capital One Investments, LLCBroker
March 2006 - September 2007 · 1 yr 6 mos
Wells Fargo Investments, LLC
January 2006 - March 2006 · 2 mos
Wells Fargo Investments, LLCBroker
December 2004 - March 2006 · 1 yr 3 mos
State Farm Vp Management CORP.Broker
November 2002 - October 2004 · 1 yr 11 mos
Metlife Securities INC.Broker
April 2002 - July 2002 · 3 mos
Metropolitan Life Insurance CompanyBroker
April 2002 - July 2002 · 3 mos
State Registrations7 states
ALCAFLGAOKPRTX
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.