Steven R. Lopez

CRD 2165476 · Fidelity Brokerage Services LLC · Rancho Cucamonga, CA

IA RegisteredBroker

Also appears in the source record as: Steven Robert Lopez

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 66Series 63Series 8SIESeries 7
Registered states (16): Arizona · California · Colorado · Idaho · Illinois · Minnesota · Montana · Nevada · New York · Oregon · Tennessee · Texas · Utah · Virginia · Washington · Wisconsin
Years in the industry (source record): 35
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Fidelity Brokerage Services LLC
Firm CRD: 7784
SEC number: Not yet retrieved from the source record
Assets under management: Not yet retrieved from the source record
Website: Not yet retrieved from the source record
Phone: Not yet retrieved from the source record
Firm location: Not yet retrieved from the source record

Employment history (12)

From the source registration record · current first

Strategic Advisers LLCCurrent
Rancho Cucamonga, CA · IA capacity

Mar 31, 2025 → present
Fidelity Brokerage Services LLCCurrent
Monrovia, CA · BD capacity

Jun 9, 2020 → present
Fidelity Brokerage Services LLCCurrent
Rancho Cucamonga, CA · BC capacity

start not retrieved → present
Fidelity Personal And Workplace Advisors
IA capacity

Jun 25, 2020 → Mar 31, 2025
Td Ameritrade, Inc.
IA capacity

Jul 31, 2013 → May 30, 2020
Td Ameritrade Investment Management, LLC
IA capacity

Jul 31, 2013 → May 30, 2020
Td Ameritrade, Inc.
BD capacity

Jul 2, 2013 → May 30, 2020
Banc Of America Investment Services, Inc.
BD capacity

Jul 12, 1999 → Sep 29, 1999
Ba Investment Services, Inc.
BD capacity

Jul 19, 1995 → Jul 12, 1999
Robertson, Stephens & Company, L.P.
BD capacity

Jun 25, 1993 → Mar 14, 1994
Charles Schwab & Co., Inc.
BD capacity

Jul 1, 1992 → Jun 8, 1993
F.N. Wolf & Co., Inc.
BD capacity

Aug 26, 1991 → Sep 9, 1991

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 2165476 ↗ FINRA BrokerCheck record for CRD 2165476 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.