Servando Diaz
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.
Servando Diaz JR, who also goes by Servando Diaz, was a registered financial professional .
Servando is a previously registered financial professional and started their career in finance in 1982. Servando had worked at 5 firms and has passed the Series 5 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
October 18, 1994 - August 26, 1996
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO
March 8, 1993 - August 26, 1996
UBS FINANCIAL SERVICES INC.
February 15, 1988 - March 16, 1993
LEHMAN BROTHERS INC.
October 24, 1983 - February 15, 1988
E. F. HUTTON & COMPANY INC
April 29, 1982 - September 12, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 5
Date: 4/27/1982
Interest Rate Options ExaminationCurrent Firm
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO
CRD#: 13042 / SEC#: , 8-28475
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 43 |
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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