Diana C. Torre
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 C Torre, who also goes by Diana Esther Chang, Diana Esther Torre, was a registered financial professional .
Diana is a previously registered financial professional and started their career in finance in 1997. Diana had worked at 5 firms and has passed the Series 66, 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
September 4, 2015 - August 4, 2023
PURSHE KAPLAN STERLING INVESTMENTS
April 30, 2009 - September 8, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 24, 2009 - September 8, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 8, 2007 - May 5, 2009
UBS FINANCIAL SERVICES INC.
May 30, 2007 - May 5, 2009
UBS FINANCIAL SERVICES INC.
April 2, 2007 - May 14, 2007
MORGAN STANLEY & CO. LLC
April 2, 2007 - May 14, 2007
MORGAN STANLEY & CO. LLC
December 22, 1997 - April 2, 2007
MORGAN STANLEY DW INC.
December 17, 1997 - April 2, 2007
MORGAN STANLEY DW 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
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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