Francisco A. Diaz
Professional summary
Francisco Alberto Diaz was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Francisco is a previously registered financial advisor and started their career in finance in 1996. Prior to being barred, Francisco had worked at 4 firms, which includes UBS INTERNATIONAL INC., CITIGROUP GLOBAL MARKETS INC., MORGAN STANLEY DW INC., CORTLANDT CAPITAL CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 23, 2007 - April 21, 2009
UBS INTERNATIONAL INC.
March 22, 2007 - April 21, 2009
UBS INTERNATIONAL INC.
October 30, 2000 - March 29, 2007
CITIGROUP GLOBAL MARKETS INC.
October 30, 2000 - March 29, 2007
CITIGROUP GLOBAL MARKETS INC.
March 7, 1996 - November 16, 2000
MORGAN STANLEY DW INC.
February 16, 1996 - April 3, 1996
CORTLANDT CAPITAL CORPORATION
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
UBS INTERNATIONAL INC.
CRD#: 107726 / SEC#: , 8-53059
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC. | SHAREHOLDER | |
| BELAVAL, EUGENIO S | DIRECTOR | 1267012 |
| BURRI, RUDOLF | CHIEF OPERATING OFFICER/DIRECTOR | 4208377 |
| DODD, DAVID MARTIN | DIRECTOR | 1065148 |
| FREY, WILLIAM PATRICK | CFO | 2369814 |
| GONZALEZ, RICARDO ALBERTO JR | CEO/DIRECTOR/MUNI PRINCIPAL | 1460620 |
| SCAVO, JOSEPH FRANK | AML OFFICER | 1240820 |
| SULLIVAN, KATHLEEN FRANCES | ASSOCIATE DIRECTOR/CROP/SROP | 2330070 |
| TORREGIANO, MICHAEL JAMES | CHIEF COMPLIANCE OFFICER | 2753068 |
| TROTTA, ELAINE MARIE | CHIEF ADMINISTRATIVE OFFICER | 1048829 |
| UBINAS TAYLOR, CARLOS VERNER | DIRECTOR & CHAIRMAN OF THE BOARD | 1985568 |
Disclosures
| Regulatory Event | 3 |
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