Jose Lopes is a ChFC-designated registered investment advisor at Cwm, LLC, based in Pawtucket, RI, with 18 years of industry experience. Jose operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Charitable Giving, Education Planning, Estate Planning, Financial Planning & Coaching, and 2 more. Their firm serves 52,669 clients with $51B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
CWM, LLC charges an annual fee based on a percentage of the value of your investments. This fee can be up to 2.50% annually. The exact fee is negotiable and depends on factors like the size of your account, the types of assets, and the complexity of your situation. Different investment advisor representatives may charge different fees for the same services. CWM retains a portion of the fee for administrative and support services. Fees are typically deducted from your account quarterly.
Location
Pawtucket, RI
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Jose sells fixed insurance products as an insurance agent, dedicating a few hours per week. He also works full-time as a wealth advisor for CWM, LLC (DBA Carson Partners and Carson Wealth) and DC Advisors, LLC, and is the treasurer for a non-profit organization.
Employment History
Current Registrations
Cwm, LLC
Cetera Investment Advisers LLC
Cetera Wealth Services, LLC
Cetera Wealth Services, LLCBroker
Previous Registrations
Osaic Wealth, INC.Broker
Osaic Wealth, INC.
Sagepoint Financial, INC.
Sagepoint Financial, INC.Broker
Securian Financial Services, INC.
Securian Financial Services, INC.Broker
Principal Securities, INC.
Principal Securities, INC.Broker
MML Investors Services, LLC
MML Investors Services, LLCBroker
State Registrations8 states
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.