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DB

Diana E. Bergherr

ABSA SECURITIES U.S.
New York, NY 10020
Some features on this profile are disabled
CRD#: 1092501
DB

Professional summary

Diana Elizabeth Bergherr, who also goes by Diana E Bergherr, is a registered financial professional currently at ABSA SECURITIES U.S. INC. located in New York, New York.

Diana is registered as a RR (Registered Representative) and started their career in finance in 1986. Diana has worked at 14 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 10, Series 9, Series 14, Series 8 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Diana E Bergherr

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Diana Elizabeth Bergherr's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

February 25, 2020 - Present

ABSA SECURITIES U.S. INC.

Office #1: 610 Fifth Avenue Suite 405, New York, NY 10020Office #2: 610 Fifth Avenue Suite 405, New York, NY 10020
BD
CRD#: 299729
New York, NY
Past

September 28, 2016 - September 11, 2018

HAITONG SECURITIES USA LLC

BD
CRD#: 281918
New York, NY
Past

October 15, 2013 - August 5, 2016

CHINA RENAISSANCE SECURITIES (US) INC.

BD
CRD#: 166318
NEW YORK, NY
Past

November 15, 2012 - October 15, 2015

GLOBAL FRONTERA MARKETS INC.

BD
CRD#: 144634
NEW YORK, NY
Past

October 4, 2007 - January 3, 2012

NUMIS SECURITIES LLC

BD
CRD#: 128471
NEW YORK, NY
Past

April 13, 2007 - September 26, 2007

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
MELVILLE, NY
Past

July 31, 2000 - August 16, 2006

MACQUARIE CAPITAL (USA) INC.

BD
CRD#: 36368
NEW YORK, NY
Past

July 19, 2000 - July 30, 2003

MACQUARIE CORPORATE FINANCE (USA) INC.

BD
CRD#: 40634
NEW YORK, NY
Past

April 27, 2000 - July 7, 2000

TRADE.COM ONLINE SECURITIES, INC.

BD
CRD#: 36189
NEW YORK, NY
Past

June 27, 1995 - April 19, 2000

CREDIT AGRICOLE SECURITIES (USA) INC.

BD
CRD#: 190
NEW YORK, NY
Past

September 2, 1993 - July 12, 1994

GATES CAPITAL CORPORATION

BD
CRD#: 29582
NEW YORK, NY
Past

February 21, 1989 - April 7, 1992

HSBC BROKERAGE (USA) INC.

BD
CRD#: 6956
NEW YORK, NY
Past

February 15, 1988 - July 9, 1988

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

April 23, 1986 - February 15, 1988

E. F. HUTTON & COMPANY INC

BD
CRD#: 235

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(3/17/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 6/16/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 9/11/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/19/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 14
Date: 4/25/1997
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 8
Date: 2/21/1997
General Securities Sales Supervisor Examination (Options Module & General Module)
Principal/Supervisory Exam
RR
Series 24
Date: 12/26/1989
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AS
ABSA SECURITIES U.S. INC.
ABSA SECURITIES U.S. INC.

CRD#: 299729 / SEC#: , 8-70312

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
610 Fifth Avenue Suite 405, New York, NY 10020
Mailing Address
610 Fifth Avenue Suite 405, New York, NY 10020
Phone number
(646) 844-0282
Established
Delaware since 09/06/2018
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ABSA GROUP LIMITEDDIRECT PARENT
BERGHERR, DIANA ELIZABETHCHIEF COMPLIANCE OFFICER1092501
GLYNN, MICHAEL GERARDFINOP3219445
KLINTWORTH, GARTHCHIEF EXECUTIVE OFFICER8070592

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

ABSA SECURITIES U.S. INC.

CRD#: 299729New York, NY 10020

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