Samuel I. Diaz
Professional summary
Samuel Ismael Diaz is a registered financial professional currently at YOUNG AMERICA CAPITAL, LLC located in Mamaroneck, New York.
Samuel is registered as a RR (Registered Representative) and started their career in finance in 1996. Samuel has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Samuel Ismael Diaz's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 28, 2026 - Present
YOUNG AMERICA CAPITAL, LLC
Office #1: 141 East Boston Post Road, Mamaroneck, NY 10543February 6, 2023 - May 1, 2024
SANTANDER US CAPITAL MARKETS LLC
October 30, 2017 - February 6, 2023
SANTANDER INVESTMENT SECURITIES INC.
July 20, 2016 - October 30, 2017
PRUCO SECURITIES, LLC.
July 23, 2013 - March 16, 2015
BANCO VOTORANTIM SECURITIES, INC.
March 13, 2000 - December 17, 2012
DEUTSCHE BANK SECURITIES INC.
August 15, 1997 - March 9, 2000
SANTANDER INVESTMENT SECURITIES INC.
February 28, 1996 - July 17, 1997
BNP PARIBAS 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
(3/28/2026)
Exams
FINRA
Current Firm
YOUNG AMERICA CAPITAL, LLC
CRD#: 150443 / SEC#: , 8-68260
Contact information
FINRA licenses (30 States and Territories)
Disclosures
| Regulatory Event | 1 |
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