Armando A. Diaz

PURESTREAM

New York, NY 10019

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CRD#: 2013893

Professional summary

Armando Anthony Diaz is a registered financial professional currently at PURESTREAM, LLC located in New York, New York.

Armando is registered as a RR (Registered Representative) and started their career in finance in 1990. Armando has worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 57, Series 7, Series 55 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

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Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 15, 2021 - Present

PURESTREAM, LLC

Office #1: 75 Rockefeller Plaza Ste. 2900a, New York, NY 10019

CRD#: 306750

New York, NY

Past

March 30, 2016 - June 25, 2018

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

March 7, 2008 - December 21, 2011

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

January 8, 2001 - September 9, 2002

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

CRD#: 3466

NEW YORK, NY

Past

May 22, 1990 - December 5, 2007

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(3/19/2021)

Exams

State Security Law Exam

Series 63

Date: 4/11/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 10/3/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 6/25/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 57

Date: 9/12/2016

Securities Trader Exam

General Industry/Product Exam

Series 7

Date: 3/30/2016

General Securities Representative Examination

General Industry/Product Exam

Series 55

Date: 2/2/1999

Limited Representative-Equity Trader Exam

Principal/Supervisory Exam

Series 24

Date: 4/27/2016

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

PURESTREAM, LLC

CRD#: 306750 / SEC#: , 8-70472

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

75 Rockefeller Plaza Ste. 2900a, New York, NY 10019

Mailing Address

75 Rockefeller Plaza Ste. 2900a, New York, NY 10019

Phone number

(201) 694-6421

Established

Delaware since 10/17/2019

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
PURESTREAM TRADING TECHNOLOGIES INC.	DIRECT OWNER
BROWN, SCOTT	FINOP / PFO / POO	6694802
DIAZ, ARMANDO ANTHONY	CHIEF EXECUTIVE OFFICER	2013893
HOOVER, SEAN CHRISTOPHER	CHIEF OPERATING OFFICER	2618602
KRIEGER, AARON HALE	GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER	7452592
WAGLE, YOGESH SHARAD	CO-CHIEF OPERATING OFFICER & CHIEF TECHNOLOGY OFFICER	2852619

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.

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Advisor Monitoring

Firm Stability Insights

Armando A. Diaz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Armando Anthony Diaz's CRS (Customer Relationship Summary).

Certified licenses

Experience

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

GOLDMAN SACHS & CO. LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/11/2016

Series 99TO

Date: 10/3/2023

SIE

Date: 6/25/2018

Series 57

Date: 9/12/2016

Series 7

Date: 3/30/2016

Series 55

Date: 2/2/1999

Series 24

Date: 4/27/2016

FINRA

Current Firm

PURESTREAM, LLC

Contact information

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

PURESTREAM, LLC

TRUST BUT VERIFY

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