James J. Lomeli
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Joseph Lomeli was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1989. James had worked at 8 firms and has passed the Series 63, Series 25 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 28, 2003 - April 10, 2007
JAMES J. LOMELI, INC.
October 29, 2001 - April 28, 2003
R.J. MURPHY & ASSOCIATES, LLC
April 17, 2001 - October 29, 2001
R. J. MURPHY EXECUTIONS, INC.
June 16, 1997 - February 24, 2000
MORGAN STANLEY & CO. LLC
June 17, 1993 - May 1, 1997
MORGAN STANLEY DW INC.
January 6, 1992 - January 22, 1992
MIDWOOD SECURITIES, INC.
April 12, 1990 - November 29, 1990
ASIEL & CO. LLC
July 18, 1989 - April 9, 1990
FINANCIAL SQUARE PARTNERS
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 25
Date: 9/22/1999
NYSE Trading Assistant ExaminationCurrent Firm
JAMES J. LOMELI, INC.
CRD#: 126627 / SEC#: , 8-65900
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LOMELI, JAMES JOSEPH | CEO/PRES/SECY/TREAS/CFO/COO/CO | 1437547 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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