Adviser and broker representative · Principal Securities, Inc.
Miguel A. Lopez
CRD 2726273 · Elk Grove, CA
At a glance
Miguel A. Lopez is an investment adviser representative with Principal Securities, Inc. in Elk Grove, CA, according to the SEC’s Investment Adviser Public Disclosure records. The earliest registration on Miguel’s SEC record dates to 2005, about 21 years ago. Miguel is also registered as a broker representative.
Current advisory firm
- Principal Securities, Inc.Since September 2005Elk Grove, CA · $17B in regulatory assets
SEC adviser record
- Registered since
- 2005 (21 years)
- Designations
- None on file
- Exams
- Series 63, Series 65
- Registered in
- 2 states
- Also a broker representative
- Yes
- Disclosures on record
- None
AtlasMembers
Miguel’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- Locked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
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Something wrong? Ask for a correction. Source: the SEC’s Investment Adviser Public Disclosure records, as of October 2026. The full record, including any disclosure details, is on the SEC’s adviser search and FINRA BrokerCheck.