Brian Lopez
Financial advisor at UBS Financial Services Inc. · San Diego, CA
Last updated 2026-10-10
Claim your profileBrian Lopez is a financial advisor at UBS Financial Services Inc. in San Diego, CA, CRD 7241125. Licenses and exams on the registration: Series 63, Series 66. IAPD registration began 2023-01-18.
Registration
- CRD number
- 7241125
- Registration status
- Active
- IAPD registration
- 2023-01-18
- Industry Experience
- 3 years
- Work Experience
- 11 years
- States registered
- CA, TX
Licenses and exams
- Series 63
- Series 66
Work history
- 2021-11 to 2023-10 · Charles Schwab & Co., Inc. · San Diego, CA
- 2021-11 to 2023-10 · Charles Schwab Bank, Ssb · San Diego, CA
- 2017-07 to 2017-08 · Vector Marketing/cutco · San Diego, CA
- 2019-02 to 2019-08 · California State University Fullerton · Fullerton, CA
- 2020-07 to 2020-10 · Northwestern Mutual · Newport Beach, CA
- 2019-05 to 2020-08 · Jolly Good Consulting/navix · San Diego, CA
- 2017-08 to 2021-05 · California State University Fullerton · Fullerton, CA
- 2016-02 to 2017-07 · Local Greens · Solana Beach, CA
- 2023-10 to 2024-11 · U.S. Bancorp Investments, Inc. · San Diego, CA
- 2025-04 to Present · UBS Financial Services, Inc · San Diego, CA
- 2015-01 to 2017-06 · Torrey Pines High School · San Diego, CA
- 2024-11 to 2025-04 · Unemployed · San Diego, CA
- 2021-05 to 2021-11 · Unemployed · San Diego, CA
Current employment
- UBS Financial Services Inc. · Weehawken, NJ
UBS Financial Services Inc.
- Regulatory AUM
- $915,793,138,114
- Registered advisors
- 9,369
- Offices
- 2,657
- Clients per advisor
- 122.2 (High)
- Average AUM per client
- $800.1K (Low)
- High-net-worth client ratio
- 74.6% (High)
UBS Financial Services Inc.: advisors, services and reported ETF investments
About
Brian Lopez is a financial advisor at UBS Financial Services Inc. in San Diego, CA. Reported securities licenses include Series 63 and Series 66. The latest record indicates 3 years of industry experience and 11 years of reported work history. Reported roles include Unemployed, U.S. Bancorp Investments, Inc., Charles Schwab & Co., Inc., Charles Schwab Bank, Ssb, among others.
UBS Financial Services Inc.'s firm-level Form ADV reports 9,369 advisors across 2,657 offices; approximately 122.2 clients per advisor, average assets per client of $800,107, and regulatory AUM of $915.8B; client categories including Individuals (non-HNW), High net worth individuals, Banking or thrift institutions, Pooled investment vehicles, Pension and profit-sharing plans, Charitable organizations; services including Financial Planning Services, Portfolio Management: Individuals and Small Businesses, Portfolio Management: Businesses or Institutional Clients, Pension Consulting Services, Selection of Other Advisers.
What this firm offers
Filed by UBS Financial Services Inc. on Form ADV.
Client services
- Financial Planning Services
- Individuals and Small Businesses
- Businesses or Institutional Clients
- Pension Consulting Services
- Selection of Other Advisers
- Publication of Periodicals or Newsletters
- Security Ratings or Pricing Services
- Educational Seminars or Workshops
Fee options
- Percentage of Assets Under Management
- Hourly Charges
- Fixed Fees (Other Than Subscription)
- Commissions
- Other
Business and affiliations
- Broker-Dealer (Registered or Unregistered)
- Futures Commission Merchant
- Insurance Broker or Agent
- Sells Non-Advisory Products or Services
- Broker-Dealer or Municipal Securities Dea
- Other Investment Adviser (Incl. Financial
- Registered Security-Based Swap Dealer
- Commodity Pool Operator or CTA
- Futures Commission Merchant
- Banking or Thrift Institution
- Trust Company
- Insurance Company or Agency
- Pension Consultant
- Real Estate Broker or Dealer
- Sponsor or Syndicator of Limited Partners
- Sponsor or GP of Pooled Investment Vehicl
Location
600 West Broadway, San Diego, CA 92101
94 advisors at this office.
Contact
The firm's filed contact details.
Official record
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