James LopesCRD Number: 1448130
Current Firm: Hbw Advisory Services LLC
James Lopes (CRD# 1448130) is an Investment Advisor Representative working at Hbw Advisory Services LLC in Santa Rosa, CA and has over 12 years of experience in the finance industry.
Jacobson & Breen Wealth Management, LLC
Albright Investment Management LLC
Western International Securities
|Hbw Advisory Services LLC||Simi Valley, CA||Feb 2013 - Current||4|
|Lopes Financial Services||Santa Rosa, CA||Apr 2007 - Current||9|
|Hbw Securities LLC||Simi Valley, CA||Jan 2006 - Current||11|
|Hbw Insurance And Financial Services, Inc.||Simi Valley, CA||May 2004 - Current||12|
|Task Mortgage||Windsor, CA||Jul 2004 - Sep 2009||5|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Oct 2004|
|S65||NASAA Investment Advisors Law Examination||Feb 2013|
Total Assets Under Management241MILLIONS
Total Number of Accounts3,782ACCOUNTS
Average Account Value$63,681
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
AL, AR, AZ, CA, CO, CT, FL, GA, IA, ID, IL, IN, KS, KY, LA, MD, MI, MN, MO, MT, NC, ND, NE, NJ, NM, NV, NY, OH, OK, OR, PA, SC, TN, TX, UT, VA, VT, WA, WI
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