Thomas Diamante
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.
Thomas Diamante was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1987. Thomas had worked at 10 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 24, 2008 - April 17, 2023
SW FINANCIAL
May 4, 2006 - November 28, 2006
EMPIRE FINANCIAL GROUP, INC.
March 8, 2001 - January 20, 2006
ATLAS CAPITAL SERVICES, LLC
January 14, 1999 - September 19, 2000
PAULSON INVESTMENT COMPANY LLC
June 20, 1997 - January 22, 1999
SCHNEIDER SECURITIES, INC.
February 8, 1996 - June 19, 1997
INVESTORS ASSOCIATES, INC.
September 29, 1995 - January 30, 1996
SHARPE CAPITAL, INC.
January 27, 1995 - September 7, 1995
INVESTORS ASSOCIATES, INC.
July 6, 1988 - July 13, 1993
NYLIFE SECURITIES LLC
November 12, 1987 - February 23, 1988
J. T. MORAN & CO., INC.
August 18, 1987 - November 20, 1987
THE STUART-JAMES COMPANY, 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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
SW FINANCIAL
CRD#: 145012 / SEC#: , 8-67688
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 7 |
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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