David A. Diaz

LIBERTY ASSOCIATES

New York, NY 10017

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CRD#: 2624643

Professional summary

David Alexander Diaz, who also goes by Daivd Alexander Diaz, David Diaz, is a registered financial professional currently at LIBERTY ASSOCIATES, INC. located in New York, New York.

David is registered as a RR (Registered Representative) and started their career in finance in 1995. David has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Daivd Alexander Diaz | David Diaz

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

Click below to view David Alexander Diaz's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

June 29, 2018 - Present

LIBERTY ASSOCIATES, INC.

Office #1: 501 Fifth Avenue 15th Floor, New York, NY, 10017

CRD#: 372

NEW YORK, NY

Past

June 15, 1995 - October 9, 1995

ROYCE INVESTMENT GROUP, INC.

CRD#: 10494

WOODBURY, 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
(7/19/2018)

Exams

State Security Law Exam

IAR

Series 65

Date: 8/30/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/21/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/14/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/15/2020

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

LIBERTY ASSOCIATES, INC.

CRD#: 15071 / SEC#: , 8-31505

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

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Contact information

Main Address

501 Fifth Avenue 15th Floor, New York, NY, 10017

Mailing Address

501 Fifth Aveue 15th Floor, New York, NY, 10017

Phone number

(212) 869-8224

Established

New York since 02/28/1984

Firm type

Corporation

Fiscal year end

January

Firm Size

Small

# of Employees

FINRA licenses (11 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
AZRILIANT, EVAN BRET	OWNER	6893576
LINDH, ALLISON MARIE	CHIEF COMPLIANCE OFFICER/CHIEF EXECUTIVE OFFICER	6309401

Disclosures

Regulatory Event

Red Flags

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Firm Stability Insights

David A. Diaz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Alexander Diaz's CRS (Customer Relationship Summary).

Certified licenses

Experience

LAIDLAW & COMPANY (UK) LTD.

MAXIM GROUP LLC

HALCYON CABOT PARTNERS, LTD.

MAXIM GROUP LLC

MAXIM GROUP LLC

HAPOALIM SECURITIES USA, INC.

GKN SECURITIES CORP.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

DUNWOODY BROKERAGE SERVICES, INC.

THE BOSTON GROUP

GRUNTAL & CO., L.L.C.

ROYCE INVESTMENT GROUP, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/30/2002

Series 63

Date: 6/21/1995

SIE

Date: 10/1/2018

Series 7

Date: 6/14/1995

Series 24

Date: 12/15/2020

FINRA

Current Firm

LIBERTY ASSOCIATES, INC.

Contact information

FINRA licenses (11 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

LIBERTY ASSOCIATES, INC.

TRUST BUT VERIFY

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