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Detailed Report
Mark Lawrence Lopez
CRD#: 1128966
IA
Investment Adviser
B
Broker
AVANTAX PLANNING PARTNERS, INC.CRD#: 106237 35 Three Mile Dr.
Suite 101
Kalispell, MT 59901
AVANTAX INVESTMENT SERVICES, INC.CRD#: 13686 35 THREE MILE DR.
SUITE 101
KALISPELL, MT 59901
Registration History
1985199019952000200520102015202020252 FIRMS2019 - Present (5 years)IAAVANTAX PLANNING PARTNERS, INC. (CRD# 106237)2024 - Present (<1 year)B1ST GLOBAL CAPITAL CORP. (CRD# 30349)2006 - 2019 (13 years)BSYMETRA INVESTMENT SERVICES, INC. (CRD# 19061)2001 - 2006 (4 years)BWASHINGTON SQUARE SECURITIES, INC. (CRD# 2882)1983 - 2001 (18 years)IA1ST GLOBAL ADVISORS INC (CRD# 111133)2009 - 2019 (10 years)
License(s)

State Registrations

B
Arizona 8/27/2020
B
North Carolina 12/23/2019
B
California 10/25/2019
B
North Dakota 10/25/2019
B
Colorado 10/25/2019
B
Ohio 2/27/2024
B
Florida 4/4/2022
B
Oregon 10/25/2019
B
Hawaii 9/27/2021
B
Texas 4/13/2023
B
Idaho 10/25/2019
IA
Texas 2/1/2024
B
Maine 11/25/2024
IA
Texas 5/6/2024
B
Montana 10/25/2019
B
Utah 10/25/2019
IA
Montana 10/25/2019
B
Washington 10/25/2019
B
Nevada 6/24/2020
B
Wisconsin 7/1/2020

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
AVANTAX PLANNING PARTNERS, INC. (CRD#:106237)
35 Three Mile Dr. Suite 101, Kalispell, MT 59901
307 Spokane Ave Ste. 200, Whitefish, MT 59937
Registered with this firm since 5/6/2024
IA
AVANTAX ADVISORY SERVICES (CRD#:104556)
307 SPOKANE AVENUE STE. 200, WHITEFISH, MT 59937
35 Three Mile Dr. Ste 101, Kalispell, MT 59901
Registered with this firm since 10/25/2019
B
AVANTAX INVESTMENT SERVICES, INC. (CRD#:13686)
35 THREE MILE DR. SUITE 101, KALISPELL, MT 59901
2419 MULLAN ROAD SUITE B, MISSOULA, MT 59808
Registered with this firm since 10/25/2019
Previous Registration(s)
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IA
 08/26/2009 - 10/25/2019 1ST GLOBAL ADVISORS INC (CRD#:111133) MISSOULA, MT
B
 08/08/2006 - 10/25/2019 1ST GLOBAL CAPITAL CORP. (CRD#:30349) MISSOULA, MT
B
 11/01/2001 - 08/16/2006 SYMETRA INVESTMENT SERVICES, INC. (CRD#:19061) MISSOULA, MT
B
 06/13/1983 - 11/13/2001 WASHINGTON SQUARE SECURITIES, INC. (CRD#:2882) WINDSOR, CT
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.