DD
David A. Diaz
THINKEQUITY
NEW YORK, NY 10004
Some features on this profile are disabled
CRD#: 2624643
DD
Professional summary
David Alexander Diaz, who also goes by Daivd Alexander Diaz, David Diaz, is a registered financial professional currently at THINKEQUITY LLC 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 13 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view David Alexander Diaz's 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®
NoneExperience
Current
April 21, 2026 - Present
THINKEQUITY LLC
Office #1: 17 State Street 41st Floor, New York, NY, 10004BD
CRD#: 20996
NEW YORK, NY
Past
June 29, 2018 - April 23, 2026
LIBERTY ASSOCIATES, INC.
BD
CRD#: 15071
NEW YORK, NY
Past
April 21, 2016 - March 1, 2017
LAIDLAW & COMPANY (UK) LTD.
BD
CRD#: 119037
NEW YORK, NY
Past
September 13, 2012 - March 31, 2016
MAXIM GROUP LLC
BD
CRD#: 120708
NEW YORK, NY
Past
August 7, 2012 - October 3, 2012
HALCYON CABOT PARTNERS, LTD.
BD
CRD#: 32664
NEW YORK, NY
Past
May 8, 2008 - November 8, 2011
MAXIM GROUP LLC
BD
CRD#: 120708
NEW YORK, NY
Past
October 23, 2002 - October 26, 2006
MAXIM GROUP LLC
BD
CRD#: 120708
NEW YORK, NY
Past
December 18, 2000 - October 23, 2002
HAPOALIM SECURITIES USA, INC.
BD
CRD#: 266
NEW YORK, NY
Past
April 5, 2000 - December 18, 2000
GKN SECURITIES CORP.
BD
CRD#: 19415
NEW YORK, NY
Past
October 2, 1997 - April 20, 2000
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
October 2, 1997 - April 20, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
March 6, 1997 - May 19, 1997
DUNWOODY BROKERAGE SERVICES, INC.
BD
CRD#: 31183
ATLANTA, GA
Past
June 14, 1996 - March 24, 1997
THE BOSTON GROUP
BD
CRD#: 37652
LOS ANGELES, CA
Past
September 20, 1995 - June 11, 1996
GRUNTAL & CO., L.L.C.
BD
CRD#: 372
NEW YORK, NY
Past
June 15, 1995 - October 9, 1995
ROYCE INVESTMENT GROUP, INC.
BD
CRD#: 10494
WOODBURY, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(4/24/2026)
RR
Alaska(4/27/2026)
RR
Arizona(5/1/2026)
RR
Arkansas(4/28/2026)
RR
California(4/21/2026)
RR
Colorado(4/27/2026)
RR
Connecticut(4/22/2026)
RR
Delaware(4/24/2026)
RR
District of Columbia(4/23/2026)
RR
Florida(4/22/2026)
RR
Georgia(4/22/2026)
RR
Idaho(4/21/2026)
RR
Indiana(4/24/2026)
RR
Iowa(4/24/2026)
RR
Kentucky(4/24/2026)
RR
Louisiana(4/23/2026)
RR
Maine(4/24/2026)
RR
Minnesota(4/23/2026)
RR
Mississippi(4/28/2026)
RR
Nebraska(4/30/2026)
RR
Nevada(4/24/2026)
RR
New Jersey(4/24/2026)
RR
New Mexico(4/24/2026)
RR
New York(4/21/2026)
RR
North Carolina(4/24/2026)
RR
North Dakota(4/27/2026)
RR
Ohio(4/21/2026)
RR
Oklahoma(4/28/2026)
RR
Pennsylvania(4/22/2026)
RR
Rhode Island(4/29/2026)
RR
South Carolina(4/28/2026)
RR
South Dakota(4/24/2026)
RR
Tennessee(4/22/2026)
RR
Texas(4/22/2026)
RR
Utah(4/27/2026)
RR
Vermont(4/27/2026)
RR
Virgin Islands(4/27/2026)
RR
Washington(4/24/2026)
RR
West Virginia(4/27/2026)
RR
Wyoming(4/24/2026)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
24X National Exchange LLC
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
TL
THINKEQUITY LLC
FORDHAM FINANCIAL MANAGEMENT, INC. | THINKEQUITY LLC
CRD#: 20996 / SEC#: , 8-38622
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
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Contact information
Main Address
17 State Street 41st Floor, New York, NY, 10004
Mailing Address
17 State Street 41st Floor, New York, NY, 10004
Phone number
(212) 732-8500
Established
Delaware since 08/13/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JAIGOBIND, RAMNARAIN JOSEPH JR | CHIEF EXECUTIVE OFFICER, GENERAL PRINCIPAL | 2273469 |
| FORDHAM HOLDING GROUP, INC. | SHAREHOLDER | |
| BAQUET, EDWARD MANUEL | OPTIONS PRINCIPAL | 4986983 |
| BAQUET, WILLIAM | GENERAL PRINCIPAL, PRESIDENT, DIRECTOR, SECRETARY, TREASURER, HEAD OF TRADING, NYSE GP, NYSE GS CHIEF OPERATING OFFICER | 1332676 |
| BOYLE, BRUCE | COMPLIANCE OFFICER, OPTIONS PRINCIPAL | 1796066 |
| CHOUDHARY, CHIRAG | HEAD OF EQUITY CAPITAL MARKETS AND INSTITUTIONAL SALES | 4534379 |
| GIORDANO, CHARLES FRANCIS | MANAGING DIRECTOR, GENERAL PRINCIPAL | 2124257 |
| HENDERSON, PHYLLIS ANNE | CHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER, NYSE GP, NYSE GS | 1343053 |
| KRIM, ALAN MITCHELL | CFO, FINOP, NYSE FI | 2785337 |
| KUMAR, ASHOK | MANAGING DIRECTOR, RESEARCH | 2374960 |
| LORD, ERIC | HEAD OF INVESTMENT BANKING | 5232206 |
| MANCUSO, PETER VINCENT | MANAGING DIRECTOR, EQUITY TRADING, NYSE COMPLIANCE OFFICER, FLOOR SUPERVISOR | 2357435 |
| MANGAN, KEVIN ROBERT | MANAGING DIRECTOR, HEAD OF EQUITY SYNDICATE | 5365766 |
| MOHAMMED, SABRINA JASMINE | FINOP | 7151560 |
| NASH, KELLY | SUPERVISORY ANALYST, RESEARCH PRINCIPAL | 3017718 |
| QUARTUCCIO, PHILIP PAUL | MANAGING DIRECTOR, HEAD OF GLOBAL TRADING | 2397864 |
| ROTHBAUM, SCOTT | SUPERVISOR - SALES | 5237026 |
| SINGER, JEFFREY DAVID | HEAD OF DEBT CAPITAL MARKETS | 4829339 |
| SKOP, CRAIG MICHAEL | S-24 SUPERVISOR - CORPORATE ACCESS | 2301924 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
