Agnes D. Diaz
Professional summary
Agnes Doris Diaz, who also goes by Agnes Diaz, is a registered financial professional currently at NEUBERGER BERMAN BD LLC located in New York, New York.
Agnes is registered as a RR (Registered Representative) and started their career in finance in 2007. Agnes has worked at 2 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Agnes Doris Diaz's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 5, 2016 - Present
NEUBERGER BERMAN BD LLC
Office #1: 1290 Avenue Of The Americas, New York, NY 10104March 2, 2007 - June 30, 2016
NEUBERGER BERMAN MANAGEMENT LLC
Primary Firm SEC Registration
NEUBERGER BERMAN BD LLC
CRD#: 2908 / SEC#: 801-3908, 8-1068
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/5/2016)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Nasdaq ISE, LLC
Nasdaq Stock Market
Current Firm
NEUBERGER BERMAN BD LLC
CRD#: 2908 / SEC#: 801-3908, 8-1068
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 20 |
| Arbitration | 5 |
Red Flags
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