Juan R. Diaz
Professional summary
Juan Ramon Diaz was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Juan is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Juan had worked at 5 firms, which includes NEW TIMES SECURITIES SERVICES INC., FIRST MONTAUK SECURITIES CORP., SANTANDER SECURITIES LLC, MARKETING ONE SECURITIES INC., PROGRAM TRADING CORP..
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Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 10, 2000 - February 16, 2000
NEW TIMES SECURITIES SERVICES, INC.
October 31, 1997 - August 7, 1998
FIRST MONTAUK SECURITIES CORP.
March 28, 1997 - August 13, 1997
SANTANDER SECURITIES LLC
December 6, 1996 - March 17, 1997
MARKETING ONE SECURITIES, INC.
September 20, 1996 - November 19, 1996
PROGRAM TRADING CORP.
State Registrations and Notice Filings
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Exams
Current Firm
NEW TIMES SECURITIES SERVICES, INC.
CRD#: 34154 / SEC#: , 8-46215
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Civil Event | 1 |
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