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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

ELIEZER B LOPEZ

Advisor at LPL FINANCIAL LLC

SAN JOSE, CA | CERES, CA

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Search this name across graphsid dfx:ria:50f442ee-b4a9-4a34-fb84-4b8886fde90d

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Aug 1, 2000 to Sep 15, 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: May 25, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: May 25, 2000
First registration: Aug 1, 2000
Dual registered: yes, broker-dealer
Other names: ELIEZER LOPEZ|ELI LOPEZ-BUSTAMANTE|ELI LOPEZ
IAPD individual key: 3228617

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	May 23, 2012	n/a	yes	CERES, CA\|SAN JOSE, CA	Current employment
CONCERT ADVISORS	Former SEC adviser	Apr 3, 2012	May 3, 2012	no	SAN JOSE, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Aug 8, 2008	Apr 2, 2012	no	SAN JOSE, CA\|SAN JOSE, CA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Mar 28, 2003	Aug 22, 2008	no	SAN JOSE, CA\|SAN JOSE, CA	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Aug 1, 2000	Apr 14, 2003	no	PALO ALTO, 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
CONCERT ADVISORS	LPL FINANCIAL LLC	May 3, 2012	May 23, 2012	20	Firm change	Other
WELLS FARGO ADVISORS	CONCERT ADVISORS	Apr 2, 2012	Apr 3, 2012	1	Firm change	Wirehouse to new firm
UBS FINANCIAL SERVICES INC.	WELLS FARGO ADVISORS	Aug 22, 2008	Aug 8, 2008	-14	Firm change	Wirehouse to wirehouse
CITIGROUP GLOBAL MARKETS INC.	UBS FINANCIAL SERVICES INC.	Apr 14, 2003	Mar 28, 2003	-17	Firm change	Other

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
May 23, 2012 to presentfactForm ADV
→ CONCERT ADVISORSRegistered adviserregistration: previous registration
Apr 3, 2012 to May 3, 2012factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Aug 8, 2008 to Apr 2, 2012factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Mar 28, 2003 to Aug 22, 2008factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Aug 1, 2000 to Apr 14, 2003factForm ADV

Dated events

No dated event names this entity yet.