JOSUE A. LOPEZ
Laguna Niguel,CA
Summary
Dynamic wealth management professional with 7+ years of experience driving $30M+ in AUM growth, specializing in high-net-worth and ultra-high-net-worth client advisory. Proven ability to deliver tailored financial solutions through innovative strategies, advanced technology, and strong relationship management. Fluent in Spanish and English, with expertise in fixed income, asset allocation, and holistic financial planning. Adept at leveraging cross-functional teams and compliance knowledge to achieve exceptional results.
Overview
7
7
years of professional experience
1
1
Certification
Work History
Private Client Advisor
JP Morgan
Dana Point, CA
07.2022 - 11.2024
- Achieved $30M+ in AUM, with over 85% of assets allocated to managed fee-based products, exceeding growth and retention targets
- Graduated from JP Morgan's Advisor Growth Program, honing advanced wealth management and client acquisition strategies
- Partnered with internal teams to deliver holistic wealth management solutions tailored to client goals and risk profiles
- Specialized in multi-asset strategies, including fixed income, SMAs, managed portfolios, annuities, and proprietary products
- Designed and executed bespoke financial plans for individuals, trusts, small businesses, and M&A transactions valued over $1 billion
- Utilized outbound prospecting strategies and relationship-building tools to establish a high-revenue practice
- Cultivated a professional network of investors, CPAs, attorneys, and entrepreneurs to generate consistent new business opportunities
Financial Advisor
Merrill Lynch
Riverside, CA
07.2019 - 06.2022
- Achieved $10M in AUM over three years by providing tailored financial solutions to high-net-worth clients
- Leveraged internal resources and financial planning software to develop multi-scenario models that aligned with diverse client goals
- Conducted client presentations across various settings, successfully closing deals and meeting revenue targets
- Built strategic relationships with attorneys, real estate professionals, and business owners to expand the client pipeline
- Reviewed and streamlined complex financial documents, including brokerage statements, insurance policies, and 401(k) plans, enhancing process efficiency
- Delivered end-to-end client service, from discovery meetings to plan implementation, ensuring high satisfaction and retention
Financial Representative
Northwestern Mutual
Riverside, CA
07.2017 - 06.2019
- Surpassed performance targets by issuing 40+ policies across whole life, term-life, and disability insurance products
- Gained foundational experience in the financial planning process and relationship-building with clients
- Designed and presented financial plans addressing holistic client goals, ensuring alignment with long-term objectives
- Integrated wealth planning software to develop tailored strategies, driving measurable client outcomes
Education
Bachelor's - Business Administration, Finance
University of California
06.2017
WMCP -
The American College of Financial Services
10.2024
Skills
- Financial Planning Software (Salesforce, Bloomberg, MoneyGuidePro)
- Portfolio Analysis and Reporting
- Advanced Excel and PowerPoint
- CRM Platforms (Salesforce, HubSpot)
- Advisory Expertise
- Wealth Management Strategy
- High-Net-Worth Client Advisory
- Fixed Income and Asset Allocation
- Retirement & Estate Planning
- Sales & Business Development
- Client Acquisition and Prospecting
- Cross-Selling and Relationship Building
- Pipeline and Revenue Growth
- Compliance
- Regulatory Adherence (FINRA, SEC)
- Risk Assessment and Mitigation
Certification
FINRA Licenses - Series 7, Series 66 | Life, Health, & Accident | WMCP® Designation
Languages
English
Native/ Bilingual
Spanish
Native/ Bilingual
Accomplishments
- Graduated JP Morgan's Advisor Growth Program (AGP)
- Graduated Merrill Lynch's Financial Advisor Development Program (FADP)
References
References available upon request.
Timeline
Private Client Advisor
JP Morgan
07.2022 - 11.2024
Financial Advisor
Merrill Lynch
07.2019 - 06.2022
Financial Representative
Northwestern Mutual
07.2017 - 06.2019
Bachelor's - Business Administration, Finance
University of California
WMCP -
The American College of Financial Services