Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
LUIS LOPEZ
LUIS ALFREDO LOPEZ, Luis A Lopez
CRD#: 2853394
IA
Investment Adviser
B
Broker
VALIC FINANCIAL ADVISORS, INC.CRD#: 42803 4300 WEST CYPRESS STREET
SUITE 1000
TAMPA, FL 33607
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2013 - 2019 (6 years)2 FIRMS2022 - Present (2 years)BTRANSAMERICA CAPITAL, INC. (CRD# 8217)2020 - 2022 (1 year)BWACHOVIA SECURITIES, LLC (CRD# 19616)2005 - 2006 (1 year)BSOUTHTRUST SECURITIES, LLC (CRD# 17922)2004 - 2005 (1 year)BFIRST UNION SECURITIES, INC. (CRD# 19616)2000 - 2001 (1 year)BPAINEWEBBER INCORPORATED (CRD# 8174)1997 - 2001 (3 years)
License(s)

State Registrations

B
California 4/11/2022
IA
Kentucky 12/4/2024
B
Florida 4/11/2022
B
Nevada 2/6/2025
IA
Florida 5/24/2022
IA
Nevada 2/10/2025
B
Kentucky 12/2/2024

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
VALIC FINANCIAL ADVISORS, INC. (CRD#:42803)
4300 WEST CYPRESS STREET SUITE 1000, TAMPA, FL 33607
Registered with this firm since 5/24/2022
B
VALIC FINANCIAL ADVISORS, INC. (CRD#:42803)
4300 WEST CYPRESS STREET SUITE 1000, TAMPA, FL 33607
Registered with this firm since 3/4/2022
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 09/22/2020 - 03/02/2022 TRANSAMERICA CAPITAL, INC. (CRD#:8217) DENVER, CO
IA
 08/09/2013 - 07/12/2019 MORGAN STANLEY (CRD#:149777) TAMPA, FL
B
 07/22/2013 - 07/12/2019 MORGAN STANLEY (CRD#:149777) TAMPA, FL
B
 04/23/2005 - 11/13/2006 WACHOVIA SECURITIES, LLC (CRD#:19616) TAMPA, FL
B
 01/01/2004 - 04/23/2005 SOUTHTRUST SECURITIES, LLC (CRD#:17922) BIRMINGHAM, AL
B
 12/20/2000 - 12/05/2001 FIRST UNION SECURITIES, INC. (CRD#:19616) ST. LOUIS, MO
B
 04/25/1997 - 01/11/2001 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
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.