Ileana A. 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.
Ileana A Diaz, who also goes by Ileana America Diaz, Ileana America Diaz-taylor, Ileana Diaz-taylor, Ileana America Diazcolon, Ileana Diazcolon, was a registered financial professional .
Ileana is a previously registered financial professional and started their career in finance in 1993. Ileana had worked at 4 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 5, 2010 - December 12, 2012
BNP PARIBAS INVESTMENT SERVICES, LLC
January 29, 2010 - April 30, 2010
J.P. MORGAN SECURITIES LLC
June 7, 2001 - October 6, 2009
WELLS FARGO CLEARING SERVICES, LLC
November 2, 1993 - August 1, 1997
FIRST UNION BROKERAGE SERVICES, 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
BNP PARIBAS INVESTMENT SERVICES, LLC
CRD#: 44598 / SEC#: , 8-50745
Contact information
Documents
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
