Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
ENRIQUE DIAZ LOMELIN
HENRY LOMELIN
CRD#: 1105098
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 55 South Lake Avenue Pasadena Towers - Tower II
Suite 700
Pasadena, CA 91101
Registration History
199019952000200520102015202020252 FIRMS2003 - 2008 (5 years)2 FIRMS2008 - 2009 (<1 year)2 FIRMS2009 - Present (15 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1995 - 2003 (8 years)BSMITH BARNEY INC. (CRD# 7059)1993 - 1995 (1 year)BLEHMAN BROTHERS INC. (CRD# 7506)1988 - 1993 (5 years)BE. F. HUTTON & COMPANY INC (CRD# 235)1986 - 1988 (1 year)IAPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1998 - 2003 (5 years)
License(s)

State Registrations

B
Alaska 7/24/2024
B
Michigan 1/20/2018
B
Arizona 6/1/2009
B
Nebraska 10/8/2019
B
California 6/1/2009
B
Nevada 6/1/2009
IA
California 6/1/2009
B
Ohio 6/15/2022
B
District of Columbia 9/25/2014
B
Oregon 6/1/2009
B
Idaho 6/1/2009
B
Washington 9/21/2018
B
Iowa 6/1/2009

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MORGAN STANLEY (CRD#:149777)
55 South Lake Avenue Pasadena Towers - Tower II Suite 700, Pasadena, CA 91101
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
55 South Lake Avenue Pasadena Towers - Tower II Suite 700, Pasadena, CA 91101
Registered with this firm since 6/1/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 07/03/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) PASADENA, CA
B
 07/03/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) PASADENA, CA
IA
 07/01/2003 - 07/08/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) PASADENA, CA
B
 07/01/2003 - 07/08/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) PASADENA, CA
IA
 03/27/1998 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) PASADENA, CA
B
 01/30/1995 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
 07/31/1993 - 02/03/1995 SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
 02/15/1988 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
 05/23/1986 - 02/15/1988 E. F. HUTTON & COMPANY INC (CRD#:235)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.