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DD

Donald Diaz

Some features on this profile are disabled
CRD#: 1549349
DD

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.

Donald Diaz was a registered financial professional .

Donald is a previously registered financial professional and started their career in finance in 1987. Donald had worked at 18 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 17, 2016 - July 25, 2016

GREAT PACIFIC SECURITIES

BD
CRD#: 29251
COSTA MESA, CA
Past

October 22, 2013 - April 25, 2014

BBVA SECURITIES INC.

BD
CRD#: 27060
HOUSTON, TX
Past

March 12, 2013 - October 22, 2013

SOUTHSTATE SECURITIES CORP.

BD
CRD#: 6950
MEMPHIS (SHELBY), TN
Past

October 24, 2011 - February 11, 2013

INSPEREX LLC

BD
CRD#: 101420
HOUSTON, TX
Past

February 28, 2006 - August 2, 2011

CANTOR FITZGERALD & CO.

BD
CRD#: 134
HOUSTON, TX
Past

October 14, 2005 - March 7, 2006

LINCOLN INVESTMENT

RIA
CRD#: 519
SUGAR LAND, TX
Past

May 13, 2005 - March 7, 2006

LINCOLN INVESTMENT

BD
CRD#: 519
FORT WASHINGTON, PA
Past

November 2, 2004 - May 16, 2005

PEB FINANCIAL GROUP, INC.

BD
CRD#: 7708
CHICAGO, IL
Past

March 13, 2000 - July 2, 2002

IMS SECURITIES, INC.

BD
CRD#: 35567
HOUSTON, TX
Past

May 6, 1998 - May 17, 1999

FIRST SOUTHWEST COMPANY, LLC

BD
CRD#: 316
DALLAS, TX
Past

March 26, 1997 - May 7, 1998

SUNAMERICA SECURITIES, INC.

BD
CRD#: 20068
PHOENIX, AZ
Past

November 1, 1993 - April 23, 1996

COASTAL SECURITIES, INC.

BD
CRD#: 27834
HOUSTON, TX
Past

August 19, 1991 - November 5, 1993

HART SECURITIES, INC.

BD
CRD#: 28389
HOUSTON, TX
Past

June 27, 1990 - February 4, 1991

M.G.S.I. SECURITIES, INC.

BD
CRD#: 16723
HOUSTON, TX
Past

June 7, 1989 - June 29, 1990

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

December 21, 1988 - March 9, 1989

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
Past

December 7, 1987 - December 19, 1988

ROTAN MOSLE INC.

BD
CRD#: 727
Past

June 12, 1987 - January 5, 1988

PORCARI, FEARNOW & ASSOCIATES, INC.

BD
CRD#: 7668
Past

April 29, 1987 - June 19, 1987

THE STUART-JAMES COMPANY, INCORPORATED

BD
CRD#: 11691

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/7/2006
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 10/13/2005
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/25/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/25/1987
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/20/1997
General Securities Principal Examination

Current Firm

GP
GREAT PACIFIC SECURITIES
GREAT PACIFIC FIXED INCOME SECURITIES, INC. | GREAT PACIFIC SECURITIES

CRD#: 29251 / SEC#: , 8-44398

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
151 Kalmus Drive, Building H8, Costa Mesa, CA 92626
Mailing Address
151 Kalmus Drive, Building H8, Costa Mesa, CA 92626
Phone number
(714) 619-3000
Established
California since 09/01/1991
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (28 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
VINCK, CHRISTOPHER VINCENTPRINCIPAL OPERATING OFFICER2447335
VINCK, CHRISTOPHER VINCENTTRADING2447335
VINCK, CHRISTOPHER VINCENTCEO2447335
VINCK, CHRISTOPHER VINCENTCCO2447335
ONESTO, RICHARD ERNESTPRINCIPAL FINANCIAL OFFICER, FINOP, AND CFO2453096

Disclosures

Regulatory Event2

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

GREAT PACIFIC SECURITIES

CRD#: 29251

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