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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)30 years in industry

Michael David Lopez

Advisor at LPL FINANCIAL LLC

BUCKEYE, AZ

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Search this name across graphsid dfx:ria:33f34bd1-d00d-2924-99f5-ad6a46e4ded5

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:34 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jul 11, 2011 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 3, 1995earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S63|S65
First exam: Nov 3, 1995
First registration: Jul 11, 2011
Dual registered: yes, broker-dealer
Other names: Michael D Lopez|MICHAEL DAVID LOPEZ|Michael Lopez
IAPD individual key: 2657580

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	Jul 10, 2025	n/a	yes	BUCKEYE, AZ	Current employment
NEXT FINANCIAL GROUP, INC.	Former SEC adviser	Aug 17, 2020	Jul 10, 2025	no	NEWPORT BEACH, CA\|GLENDORA, CA\|Buckeye, AZ	Previous registration
NEXT FINANCIAL GROUP, INC.	Former SEC adviser	Mar 10, 2015	Jun 1, 2020	no	NEWPORT BEACH, CA\|Glendora, CA\|PHOENIX, AZ	Previous registration
INDEPENDENT FINANCIAL GROUP, LLC	Bd affiliated wealth	Nov 30, 2012	Mar 4, 2015	no	SAN DIEGO, CA\|GLENDORA, CA	Previous registration
SAGEPOINT FINANCIAL, INC.	Former SEC adviser	Jul 11, 2011	Dec 4, 2012	no	PHOENIX, AZ\|LA MESA, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
NEXT FINANCIAL GROUP, INC.	LPL FINANCIAL LLC	Jul 10, 2025	Jul 10, 2025	0	Bulk transfer	Ibd to ibd
INDEPENDENT FINANCIAL GROUP, LLC	NEXT FINANCIAL GROUP, INC.	Mar 4, 2015	Mar 10, 2015	6	Firm change	Other
SAGEPOINT FINANCIAL, INC.	INDEPENDENT FINANCIAL GROUP, LLC	Dec 4, 2012	Nov 30, 2012	-4	Firm change	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jul 10, 2025 to presentfactForm ADV
→ NEXT FINANCIAL GROUP, INC.Registered adviserregistration: previous registration
Aug 17, 2020 to Jul 10, 2025factForm ADV
→ INDEPENDENT FINANCIAL GROUP, LLCRegistered adviserregistration: previous registration
Nov 30, 2012 to Mar 4, 2015factForm ADV
→ SAGEPOINT FINANCIAL, INC.Registered adviserregistration: previous registration
Jul 11, 2011 to Dec 4, 2012factForm ADV

Dated events

No dated event names this entity yet.