Arthur Lopez is a registered investment advisor, based in Austin, TX, with 16 years of industry experience.
Location
6420 E Highway 290, Austin, TX, 78723
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Regulatory History
Clean regulatory record
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 →Employment History
Current Registrations
Cetera Investment Services LLCBroker
February 2025 - Present · 1 yr 3 mos
Cetera Investment Advisers LLC
February 2025 - Present · 1 yr 3 mos
Previous Registrations
Cuso Financial Services, L.P.Broker
August 2023 - January 2025 · 1 yr 5 mos
Cuso Financial Services, L.P.
August 2023 - January 2025 · 1 yr 5 mos
J.P. Morgan Securities LLC
October 2022 - August 2023 · 10 mos
J.P. Morgan Securities LLCBroker
October 2022 - August 2023 · 10 mos
Wells Fargo Clearing Services, LLC
November 2019 - October 2022 · 2 yrs 11 mos
Wells Fargo Clearing Services, LLCBroker
November 2019 - October 2022 · 2 yrs 11 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
April 2016 - October 2019 · 3 yrs 6 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
April 2016 - October 2019 · 3 yrs 6 mos
Morgan Stanley
July 2014 - March 2016 · 1 yr 8 mos
Morgan StanleyBroker
June 2014 - March 2016 · 1 yr 9 mos
J.P. Morgan Securities LLCBroker
October 2012 - May 2014 · 1 yr 7 mos
Chase Investment Services CORP.Broker
April 2009 - October 2012 · 3 yrs 6 mos
State Registrations5 states
COFLLAOKTX
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.