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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

JUAN LOPEZ

Advisor at INVICTA ADVISORS LLC

OAKMONT, PA | Western Springs, IL

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Search this name across graphsid dfx:ria:56ea47c1-ed79-fe0a-c6d4-c760aeacf96f

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:46 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jul 1, 2004 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: INVICTA ADVISORS LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 1, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Apr 30, 2010
First registration: Jul 1, 2004
Dual registered: yes, broker-dealer
IAPD individual key: 4611028

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
INVICTA ADVISORS LLC	Independent wealth	Oct 31, 2023	n/a	yes	Western Springs, IL\|OAKMONT, PA	Current employment
VERITY ASSET MANAGEMENT	Independent wealth	Feb 8, 2022	May 9, 2022	no	WESTERN SPRINGS, IL\|DURHAM, NC	Previous registration
VERITY ASSET MANAGEMENT	Independent wealth	May 18, 2021	Aug 12, 2021	no	DURHAM, NC\|Western Springs, IL	Previous registration
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Mar 3, 2015	Apr 27, 2015	no	CHICAGO, IL	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Mar 19, 2007	Jun 26, 2007	no	CHICAGO, IL	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jul 1, 2004	Jul 8, 2005	no	CHICAGO, IL	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
VERITY ASSET MANAGEMENT	INVICTA ADVISORS LLC	May 9, 2022	Oct 31, 2023	540	Firm change after gap	RIA to RIA
MSI FINANCIAL SERVICES, INC.	VERITY ASSET MANAGEMENT	Apr 27, 2015	May 18, 2021	2,213	Firm change after gap	Other
BANC OF AMERICA INVESTMENT SERVICES, INC.	MSI FINANCIAL SERVICES, INC.	Jun 26, 2007	Mar 3, 2015	2,807	Firm change after gap	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	BANC OF AMERICA INVESTMENT SERVICES, INC.	Jul 8, 2005	Mar 19, 2007	619	Firm change after gap	Other

Relationships

Registered with (5)

→ INVICTA ADVISORS LLCRegistered adviserregistration: current employment
Oct 31, 2023 to presentfactForm ADV
→ VERITY ASSET MANAGEMENTRegistered adviserregistration: previous registration
Feb 8, 2022 to May 9, 2022factForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Mar 3, 2015 to Apr 27, 2015factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Mar 19, 2007 to Jun 26, 2007factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jul 1, 2004 to Jul 8, 2005factForm ADV

Dated events

Occurred
May 9, 2022
Advisor changed firm
Juan Lopez left Verity Asset Management for Invicta Advisors Llc (registered 2023-10-31)
Form ADVobserved 5 days ago