Diana E. Delaney
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.
Diana Elena Braca Delaney, who also goes by Diana Braca Probst, Diana Elena Braca Probst, Diana Probst, was a registered financial professional .
Diana is a previously registered financial professional and started their career in finance in 1992. Diana had worked at 8 firms and has passed the Series 63, SIE 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
April 10, 2017 - February 10, 2020
LONGBOW SECURITIES, LLC
October 24, 2016 - March 31, 2017
B. RILEY WEALTH MANAGEMENT
February 17, 2016 - October 14, 2016
BREAN CAPITAL, LLC
September 10, 2015 - February 2, 2016
DREXEL HAMILTON, LLC
November 17, 2005 - January 9, 2015
BREAN CAPITAL, LLC
February 14, 2005 - November 16, 2005
AMERICA NORTHCOAST SECURITIES, INC.
December 11, 2003 - January 24, 2005
J. B. HANAUER & CO.
March 21, 1994 - March 15, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 18, 1992 - May 15, 1992
SALOMON BROTHERS 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
LONGBOW SECURITIES, LLC
CRD#: 135738 / SEC#: , 8-66950
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LONGBOW RESEARCH, LLC | OWNER | |
| MACGREGOR, DAVID SUTHERLAND | PRESIDENT/DIRECTOR OF RESEARCH/CHIEF COMPLIANCE OFFICER/FINOP | 2685554 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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