Carlos Lopez

TWO PILLARS ASSET MANAGEMENT

FRISCO, TX 75034

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CRD#: 2528941

Professional summary

Carlos Lopez JR., who also goes by Carlos Lopez Jr, Xhaz Lopez, Carlos Lopez Jr., is a registered financial advisor currently at TWO PILLARS ASSET MANAGEMENT located in Frisco, Texas.

Carlos is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Carlos has worked at 11 firms and has passed the Series 65, Series 66, Series 63, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Carlos Lopez Jr | Xhaz Lopez | Carlos Lopez Jr.

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carlos Lopez JR.'s CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 15, 2019 - Present

TWO PILLARS ASSET MANAGEMENT

Office #1: 2591 Dallas Parkway Suite 300, Frisco, TX 75034

RIA

CRD#: 300859

FRISCO, TX

Past

June 21, 2016 - October 5, 2018

INSPIRE INVESTING, LLC

RIA

CRD#: 171988

Frisco, TX

Past

October 13, 2015 - June 30, 2016

CREATIVE FINANCIAL DESIGNS, INC.

RIA

CRD#: 109032

Plano, TX

Past

June 2, 2014 - October 5, 2015

FIRMO INVESTMENT CONSULTING SERVICES

RIA

CRD#: 153185

PLANO, TX

Past

April 22, 2013 - May 15, 2014

BEACON WEALTH CONSULTANTS, INC.

RIA

CRD#: 154939

PLANO, TX

Past

May 17, 2004 - July 29, 2005

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

BREA, CA

Past

April 22, 2004 - July 29, 2005

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

March 19, 2002 - March 8, 2004

STONE & YOUNGBERG LLC

CRD#: 795

SAN FRANCISCO, CA

Past

April 16, 2001 - March 1, 2002

MARKET AXESS INC.

CRD#: 104103

NEW YORK, NY

Past

June 5, 1998 - March 7, 2002

MARKETAXESS CORPORATION

CRD#: 44542

NEW YORK, NY

Past

May 25, 1995 - May 21, 1998

COWEN EXECUTION SERVICES LLC

CRD#: 35693

NEW YORK, NY

Past

September 13, 1994 - December 12, 1994

M.S. FARRELL & COMPANY, INC.

CRD#: 24232

SYOSSET, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(3/15/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/19/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 5/14/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/15/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 55

Date: 9/1/2001

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 9/11/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/29/1998

General Securities Principal Examination

Current Firm

TWO PILLARS ASSET MANAGEMENT

JACHIN & BOAZ ASSET MANAGEMENT, LLC | TWO PILLARS ASSET MANAGEMENT | TWO PILLARS

CRD#: 300859 / SEC#:

California

Registered Investment Advisory firm - (12/28/2023 Terminated)

Texas

Registered Investment Advisory firm - (3/15/2019 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

2591 Dallas Parkway Suite 300, Frisco, TX 75034

Mailing Address

Phone number

(833) 377-0051

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	49
AUM (Assets Under Management)	$ 4,146,763

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Carlos Lopez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carlos Lopez JR.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

INSPIRE INVESTING, LLC

CREATIVE FINANCIAL DESIGNS, INC.

FIRMO INVESTMENT CONSULTING SERVICES

BEACON WEALTH CONSULTANTS, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

STONE & YOUNGBERG LLC

MARKET AXESS INC.

MARKETAXESS CORPORATION

COWEN EXECUTION SERVICES LLC

M.S. FARRELL & COMPANY, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/19/2013

Series 66

Date: 5/14/2004

Series 63

Date: 9/15/1994

Series 55

Date: 9/1/2001

Series 7

Date: 9/11/1994

Series 24

Date: 7/29/1998

Current Firm

TWO PILLARS ASSET MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

TWO PILLARS ASSET MANAGEMENT

TRUST BUT VERIFY

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