Nicole Ann Lopez
Investment adviser representative at Broadway Wealth Solutions
11 yearsExperience
1 stateRegistered in
$308.1MFirm assets
4 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assets
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Portfolio management
Experience
11 years in the industry.
- Broadway Wealth Solutions, Inc.Jan 2021 to now
- Imperium Wealth ManagementFeb 2019 to Dec 2020
- Sa PromotionsOct 2018 to Nov 2018
- ChaseDec 2017 to Oct 2018
- Southern Glazer's Wine & SpiritsJan 2017 to Oct 2017
- Texas State University - Math DeptJan 2015 to Dec 2016
Exams passed
- Series 65 · Uniform Investment Adviser Law2021
State registrations
Registered as an investment adviser representative in 1 state (TX).
Broadway Wealth Solutions
Legal name: Broadway Wealth Solutions, Inc.
$308.1MAssets managed
906Clients
11Advisers
4 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 7405690
- Firm CRD
- 291753