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Detailed Report
JERRY LOPEZ
CRD#: 2949340
IA
Investment Adviser
B
Broker
VALIC FINANCIAL ADVISORS, INC.CRD#: 42803 5353 SCOTTS VALLEY DRIVE
SUITE A
SCOTTS VALLEY, CA 95066
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2003 - Present (22 years)BMORGAN STANLEY DW INC. (CRD# 7556)1997 - 2002 (5 years)IAMORGAN STANLEY (CRD# 7556)1998 - 2002 (4 years)
Disclosure(s)
View By:
3/19/2020
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 8/5/2020
IA
New Hampshire 11/22/2022
IA
Arizona 8/7/2020
IA
Oregon 8/19/2014
B
California 1/29/2003
B
Oregon 8/27/2014
IA
California 1/29/2003
B
Washington 11/17/2014
B
Idaho 6/17/2003
IA
Washington 11/18/2014
B
New Hampshire 11/22/2022

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)
5353 SCOTTS VALLEY DRIVE SUITE A, SCOTTS VALLEY, CA 95066
9053 SOQUEL DRIVE SUITE 203-B, APTOS, CA 95003
Registered with this firm since 1/29/2003
B
VALIC FINANCIAL ADVISORS, INC. (CRD#:42803)
5353 SCOTTS VALLEY DRIVE SUITE A, SCOTTS VALLEY, CA 95066
9053 SOQUEL DRIVE SUITE 203-B, APTOS, CA 95003
Registered with this firm since 1/29/2003
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 08/24/1998 - 12/06/2002 MORGAN STANLEY (CRD#:7556) SANTA CRUZ, CA
B
 10/24/1997 - 12/06/2002 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
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.