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Diego Lopez

Morgan Stanley

Sandy, UT

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-10-02
UT RA APPROVED 2023-09-05
  • TX RA
    APPROVED_RES
    Since 2023-10-02
  • UT RA
    APPROVED
    Since 2023-09-05

Branch Locations

200 West Civic Center Drive, Sandy, UT 84070 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
E*Trade Securities Llc Sandy UT 10/2012 06/2017
Salt Lake Community College Salt Lake City UT 01/2011 Present
E*Trade Securities Llc Sandy UT 06/2017 08/2017
E*Trade Securities Llc Sandy UT 08/2017 02/2018
E*Trade Securities Llc Sandy UT 02/2018 09/2023
E*Trade Capital Management Llc Sandy UT 03/2018 09/2023
Morgan Stanley Smith Barney Llc Sandy UT 03/2023 Present
  • 10/2012 → 06/2017
    E*Trade Securities Llc
    Sandy, UT
  • 01/2011 → Present
    Salt Lake Community College
    Salt Lake City, UT
  • 06/2017 → 08/2017
    E*Trade Securities Llc
    Sandy, UT
  • 08/2017 → 02/2018
    E*Trade Securities Llc
    Sandy, UT
  • 02/2018 → 09/2023
    E*Trade Securities Llc
    Sandy, UT
  • 03/2018 → 09/2023
    E*Trade Capital Management Llc
    Sandy, UT
  • 03/2023 → Present
    Morgan Stanley Smith Barney Llc
    Sandy, UT
Previous Registrations
  • 2018-07-02 → 2023-09-05
    Harrisdirect Llc
    Sandy, UT
    Arlington, VA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-06-29
S63 Uniform Securities Agent State Law Examination 2012-12-04
  • S66 Uniform Combined State Law Examination
    2018-06-29
  • S63 Uniform Securities Agent State Law Examination
    2012-12-04
Other Names
  • Diego Lopez-Serrato

View on SEC IAPD

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DIVERSIFY ADVISORY SERVICES, LLC
NET WORTH ADVISORY GROUP, LLC
GLOBAL RETIREMENT PARTNERS LLC
EAGLE STRATEGIES LLC

Other Investors

BRIAN SCOTT URIE
CHAD DEAN WADDOUPS
BENJAMIN PASEE AHYOU
JODI LEE VAWDREY
DAVID FRANKLIN DODDS
KEITH CRAIG CRANDALL
JUSTIN WARREN LUETTGERODT
CHRISTOPHER LYNN COOK

Other Offices

LPL FINANCIAL LLC · SANDY, UT
LPL FINANCIAL LLC · SANDY, UT
LPL FINANCIAL LLC · SANDY, UT
CETERA INVESTMENT ADVISERS LLC · SANDY, UT
ACLAIME ASSET MANAGEMENT, LLC · SANDY, UT
DIVERSIFY WEALTH MANAGEMENT, LLC · SANDY, UT
DIVERSIFY ADVISORY SERVICES, LLC · SANDY, UT
DIVERSIFY WEALTH MANAGEMENT, LLC · SANDY, UT

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