John C. Diego
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.
John Carlos Diego, who also goes by John C Diego, John Diego, Juan Carlos Diego, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1993. John had worked at 9 firms and has passed the Series 65, Series 63 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
November 8, 2012 - April 22, 2013
XP INVESTMENTS US, LLC
July 6, 2012 - October 25, 2012
FIDELITY BROKERAGE SERVICES LLC
April 21, 2008 - November 17, 2011
HSBC SECURITIES (USA) INC.
January 29, 2007 - November 6, 2007
MORGAN STANLEY & CO. LLC
April 30, 1997 - February 26, 2007
J.P. MORGAN SECURITIES LLC
October 25, 1995 - April 7, 1997
SANTANDER INVESTMENT SECURITIES INC.
April 11, 1994 - March 1, 1995
SERFIN SECURITIES,INC.
November 9, 1993 - March 22, 1994
CEDAR STREET SECURITIES CORP.
August 20, 1993 - November 11, 1993
INTESA SANPAOLO IMI SECURITIES CORP.
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
Current Firm
XP INVESTMENTS US, LLC
CRD#: 156691 / SEC#: , 8-68817
Contact information
FINRA licenses (34 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| XP HOLDING INTERNATIONAL, LLC | PARENT COMPANY | |
| COSTA, JOSE EDUARDO | CHIEF EXECUTIVE OFFICER | 4983100 |
| GOMEZ, ADELIA MARIEL | CHIEF OPERATING OFFICER/ PRINCIPAL OPERATIONS OFFICER | 5477182 |
| SINGER, STEVEN FREDERIC | PRINCIPAL FINANCIAL OFFICER | 2360737 |
| WILSON, JARED RYAN | CHIEF COMPLIANCE OFFICER/ AML COMPLIANCE OFFICER | 5322068 |
Disclosures
| Regulatory Event | 3 |
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.
