Lois Gough Lopez, financial advisor Santa Clarita CA
81 score

Lois Gough Lopez

CRD Number: 3090515
Current Firm: Berthel Fisher & Company Financial Services, Inc.

Lois Gough Lopez (CRD# 3090515) is an Investment Advisor Representative working at Berthel Fisher & Company Financial Services, Inc. in Santa Clarita, CA and has over 16 years of experience in the finance industry.

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Company Name Location Dates Years
Berthel, Fisher & Company Financial Services, Inc. Pine Mountain Club, CA Mar 2003 - Current 13
Rotary Pine Mountain Club, CA Jul 2010 - Jul 2011 1
1st Liberty Financial - Sofa Pine Mountain Club, CA Aug 2009 - Aug 2010 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Mar 2000
S65 NASAA Investment Advisors Law Examination Jun 2005
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Judgments / Liens
Get Details on the FINRA Advisor Check site
Contact Info for Lois E. Gough Lopez
Phone Number: 319-447-5700
Firm Website: http://www.berthel.com
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    765
    MILLIONS
  • Total Number of Accounts
    5,670
    ACCOUNTS
  • Average Account Value
    $134,832
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AL, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, MI, MN, MO, MS, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
81

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