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 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

Sep 1, 2006earliest registration or exam on IAPD

Years in industry

20derivedfrom the industry start date

Years at current firm

3derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

1

Exams

S65|S66|S63

First exam

Sep 1, 2006

First registration

Jan 7, 2009

Dual registered

yes, broker-dealer

Other names

CHARLIE LOPEZ|CARLOS JAVIER LOPEZ|Carlos J Lopez|CARLOS LOPEZ

IAPD individual key

4204416

• Occurred

  Sep 7, 2023
  Advisor changed firm

  Carlos Javier Lopez left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Lpl Financial Llc (registered 2023-08-28)

  Form ADVobserved 4 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:e2a84275-e9df-1b4c-a563-2462e2868549

First observed

Jan 7, 2009

Last observed

Sep 14, 2026 5 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.