Daniel O. Diaz
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.
Daniel Orlando Diaz was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1989. Daniel had worked at 3 firms and has passed the Series 27 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 17, 1990 - February 7, 1992
EURO-ATLANTIC SECURITIES INC.
October 23, 1990 - October 31, 1990
EURO-ATLANTIC SECURITIES INC.
July 23, 1990 - September 12, 1990
ESCALATOR SECURITIES, INC.
October 23, 1989 - August 24, 1990
AMERICAN WALLSTREET SECURITIES, INC.
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
EURO-ATLANTIC SECURITIES INC.
CRD#: 21367 / SEC#: , 8-38870
Contact information
Documents
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.
