William Thomas Diana
Professional Summary
William Thomas Diana, who also goes by Bill Diana, is a registered financial advisor currently at MMA SECURITIES LLC located in Saddlebrook, New Jersey. William is registered as a RR (Registered Representative) and started their career in finance in 1985. William has worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Bill Diana
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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.
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Years of Experience
41 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
COMPASS FINANCIAL PARTNERS | PRECEPT ADVISORY GROUP LLC | NIA SECURITIES, L.L.C. | MMA SECURITIES LLC | MMA RETIREMENT & WEALTH | MMA - DAWSON | MMA - CENTURION | MMA - BROWER | MMA - BARNEY & BARNEY | MMA - ASSURANCE
Contact Information
Main Address
1166 Avenue Of The Americas, New York, NY 10036Mailing Address
1166 Avenue Of The Americas, New York, NY 10036Phone Number
(917) 625-4069Established
New Jersey since 02/03/1998Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Medium# of Employees
211SEC notice filing (52 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
FINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
Documents
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
COMPASS FINANCIAL PARTNERS | PRECEPT ADVISORY GROUP LLC | NIA SECURITIES, L.L.C. | MMA SECURITIES LLC | MMA RETIREMENT & WEALTH | MMA - DAWSON | MMA - CENTURION | MMA - BROWER | MMA - BARNEY & BARNEY | MMA - ASSURANCE
State Registrations and Notice Filings
(7/7/2015)
(4/9/2013)
(10/27/2014)
(8/1/2013)
(1/4/2000)
(1/4/2000)
(7/8/2015)
(7/16/2015)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed May 1985About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view William Thomas Diana's CRS (Customer Relationship Summary).
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