Susan B. Diaz
Professional summary
Susan Buccolo Diaz, who also goes by Susan Buccolo, Susan B Diaz, is a registered financial professional currently at VANDERBILT SECURITIES, LLC located in Woodbury, New York.
Susan is registered as a RR (Registered Representative) and started their career in finance in 1999. Susan has worked at 5 firms and has passed the SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Susan Buccolo Diaz's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 19, 2017 - Present
VANDERBILT SECURITIES, LLC
Office #1: 125 Froehlich Farm Blvd., Woodbury, NY 11797March 8, 2013 - February 6, 2017
VANDERBILT SECURITIES, LLC
March 7, 2007 - November 14, 2012
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
October 21, 2005 - January 23, 2007
HSBC SECURITIES (USA) INC.
May 31, 2005 - October 3, 2005
JOHN HANCOCK DISTRIBUTORS LLC
October 19, 1999 - October 3, 2005
ESSEX NATIONAL SECURITIES, LLC
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
FINRA
Current Firm
VANDERBILT SECURITIES, LLC
CRD#: 5953 / SEC#: , 8-16712
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VANDERBILT CAPITAL, LLC | SOLE OWNER | |
| ANTENOR, JR, DANIEL | CHIEF OPERATIONS OFFICER/OPTIONS/MUNI | 5839052 |
| DISTANTE, STEPHEN ALFRED | CEO - LIMITED PARTNER | 2206574 |
| PLAPP, MEGAN LYNN | FINOP, POO, PFO, CFO | 6790596 |
| THOMAS, MICHELLE DENISE | CHIEF COMPLIANCE OFFICER | 2210435 |
| TRIFILETTI, JOSEPH JOHN | PRESIDENT | 5295897 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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