Abigail 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.
Abigail Diaz, who also goes by Abbie King, Abby King, Abigail D King, Abigail Diaz King, Abigail Diaz Kng, was a registered financial professional .
Abigail is a previously registered financial professional and started their career in finance in 2014. Abigail had worked at 1 firm .
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 20, 2014 - May 6, 2016
ALLEN & COMPANY LLC
State Registrations and Notice Filings
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Exams
Current Firm
ALLEN & COMPANY LLC
CRD#: 1042 / SEC#: , 8-12123
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLEN OPERATIONS LLC | PARENT COMPANY | |
| ALLEN, HERBERT, III ANTHONY | MANAGING DIRECTOR & PRESIDENT | 1532662 |
| DIIORIO, PETER | GENERAL COUNSEL | 5309583 |
| GOLINSKY, JODI | CHIEF COMPLIANCE OFFICER AND DEPUTY GENERAL COUNSEL | 7671190 |
| MOORE, THOMAS MICHAEL | VICE PRESIDENT - OPERATIONS (CHIEF OPERATIONS OFFICER) | 6046204 |
| VAHABZADEH, SALIMA | MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER, FINANCIAL OPERATIONS PRINCIPAL | 3093372 |
Disclosures
| Regulatory Event | 14 |
Red Flags
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