Alphonso Diaz
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Alphonso Diaz was a registered financial professional .
Alphonso is a previously registered financial professional and started their career in finance in 1997. Alphonso had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 55 and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 10, 2019 - June 10, 2026
BOFA SECURITIES, INC.
March 1, 2018 - May 10, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 28, 2018 - May 10, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 11, 2015 - July 24, 2017
HSBC SECURITIES (USA) INC.
May 6, 2015 - July 24, 2017
HSBC SECURITIES (USA) INC.
November 4, 2013 - January 9, 2015
BREAN CAPITAL, LLC
May 6, 2013 - October 31, 2013
STRATEGIC ADVISERS LLC
April 1, 2013 - October 30, 2013
FIDELITY BROKERAGE SERVICES LLC
July 20, 2005 - February 15, 2006
UBS CAPITAL MARKETS L.P.
April 20, 2005 - February 1, 2013
UBS SECURITIES LLC
January 8, 1998 - May 25, 2005
UBS CAPITAL MARKETS L.P.
October 20, 1997 - May 15, 1998
CHARLES SCHWAB & CO., INC.
Primary Firm SEC Registration
BOFA SECURITIES, INC.
CRD#: 283942 / SEC#: 801-112640, 8-69787
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
Series 55
Date: 12/30/1998
Limited Representative-Equity Trader ExamCurrent Firm
BOFA SECURITIES, INC.
CRD#: 283942 / SEC#: 801-112640, 8-69787
Contact information
SEC notice filing (2 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NB HOLDINGS CORPORATION | SOLE STOCKHOLDER | |
| BHATIA, KASHYAP P | CHIEF COMPLIANCE OFFICER / BROKER DEALER | 6110368 |
| CHEPUCAVAGE, LAURA P | DIRECTOR, STATE DESIGNATED PRINCIPAL | 4672504 |
| GADKARI, SARANG RAJAN | DIRECTOR | 2522409 |
| MCQUEEN, MATTHEW C | DIRECTOR | 4204052 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| RAE, GLEN ALEXANDER | CHIEF LEGAL OFFICER | 6300829 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| STAGG, JENNIFER C | CHIEF COMPLIANCE OFFICER / REGISTERED INVESTMENT ADVISER | 2597167 |
| ZUBERI, SOOFIAN J J | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2372292 |
Disclosures
| Regulatory Event | 71 |
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.
