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.

Current firm

LPL ENTERPRISE, 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

Jan 1, 2012earliest registration or exam on IAPD

Years in industry

14derivedfrom the industry start date

Years at current firm

0derivedfrom the current registration's begin date

Prior firms

1

Current registrations

1

Registered states

2

Exams

S65|S63

First exam

Oct 26, 2018

First registration

Nov 6, 2019

Dual registered

yes, broker-dealer

Other names

CARLOS LOPEZ RIVERA|CARLOS D LOPEZ

IAPD individual key

6825252

• Occurred

  Jul 17, 2024
  Advisor changed firm

  Carlos Lopez left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Lpl Enterprise, Llc (registered 2026-03-24)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:a295dc9c-dae8-ff4c-65b2-2beec0cb8f8f

First observed

Nov 6, 2019

Last observed

Sep 14, 2026 6 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.