Diego De La Lama

INSIGHT SECURITIES

Miami, FL 33131

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CRD#: 2943100

Professional summary

Diego De La Lama, who also goes by Diego Delalama, Diego Delalania, is a registered financial advisor currently at INSIGHT SECURITIES, INC. located in Miami, Florida.

Diego is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Diego has worked at 14 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Diego Delalama | Diego Delalania

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Diego De La Lama's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Diego De La Lama's CRS (Customer Relationship Summary).

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®

None

Experience

Current

April 25, 2017 - Present

INSIGHT SECURITIES, INC.

Office #1: 777 Brickell Ave. Suite 586, Miami, FL 33131

RIA

CRD#: 5611

Miami, FL

Current

April 24, 2017 - Present

INSIGHT SECURITIES, INC.

Office #1: 777 Brickell Ave. Suite 586, Miami, FL 33131

RIA

CRD#: 5611

Miami, FL

Past

September 6, 2016 - April 26, 2017

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

Miami, FL

Past

September 6, 2016 - April 26, 2017

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

Miami, FL

Past

January 28, 2014 - September 6, 2016

DEUTSCHE BANK SECURITIES INC.

RIA

CRD#: 2525

MIAMI, FL

Past

January 27, 2014 - September 6, 2016

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

MIAMI, FL

Past

July 1, 2013 - February 18, 2014

BARCLAYS CAPITAL INC.

RIA

CRD#: 19714

MIAMI, FL

Past

July 1, 2013 - February 18, 2014

BARCLAYS CAPITAL INC.

CRD#: 19714

MIAMI, FL

Past

December 15, 2010 - July 3, 2013

HSBC SECURITIES (USA) INC.

RIA

CRD#: 19585

MIAMI, FL

Past

December 9, 2010 - July 3, 2013

HSBC SECURITIES (USA) INC.

CRD#: 19585

MIAMI, FL

Past

October 14, 2010 - October 29, 2010

STONEX INTERNATIONAL ADVISORS INC

RIA

CRD#: 153799

MIAMI, FL

Past

October 21, 2009 - October 29, 2010

STONEX INTERNATIONAL SECURITIES INC.

CRD#: 146667

MIAMI, FL

Past

March 13, 2009 - April 30, 2009

UBS INTERNATIONAL INC.

RIA

CRD#: 107726

MIAMI, FL

Past

May 5, 2008 - April 30, 2009

UBS INTERNATIONAL INC.

CRD#: 107726

NEW YORK, NY

Past

January 1, 2005 - November 14, 2007

HSBC SECURITIES (USA) INC.

CRD#: 19585

MIAMI, FL

Past

April 16, 2004 - January 1, 2005

HSBC BROKERAGE (USA) INC.

CRD#: 6956

NEW YORK, NY

Past

April 22, 2003 - March 8, 2004

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

Past

December 10, 2002 - January 13, 2003

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

October 19, 2000 - December 13, 2002

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

September 7, 1999 - October 13, 2000

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

June 16, 1998 - July 19, 1999

INVERWORLD SECURITIES, INC.

CRD#: 19845

SAN ANTONIO, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

INSIGHT SECURITIES, INC.

CRD#: 5611 / SEC#: 801-12999, 8-16247

RIA

Registered Investment Advisory firm - SEC (5/25/1977 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

California
(3/23/2018)

Florida
(4/24/2017)

IAR

Florida
(4/25/2017)

Texas
(12/10/2021)

IAR

Texas
(12/21/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/7/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/22/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/15/1998

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

INSIGHT SECURITIES, INC.

CRD#: 5611 / SEC#: 801-12999, 8-16247

RIA

Registered Investment Advisory firm - SEC (5/25/1977 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

600 Central Ave Suite 293, Highland Park, IL 60035

Mailing Address

600 Central Ave Suite 293, Highland Park, IL 60035

Phone number

(224) 632-4700

Established

Delaware since 11/12/1970

Firm type

Corporation

Fiscal year end

June

Firm Size

Small

# of Employees

SEC notice filing (36 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
INTELLIGENICS, INC.	HOLDING COMPANY/STOCKHOLDER
GAAFAR, OMAR JAMES	COO	4916775
KIM, JAMES J	CCO	6040592
LEGASPY, CARLOS JAVIER	PRINCIPAL, PRESIDENT, CEO	2148751
MAKULA, MICHAEL JOSEPH MR.	CFO, FINOP	4643441

Regulatory assets under management

Total Number of Accounts	48
AUM (Assets Under Management)	$ 94,216,934

Disclosures

Regulatory Event	6
Arbitration	1
Bond	5

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.

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Advisor Monitoring

Firm Stability Insights

Diego De La Lama

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Diego De La Lama's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Diego De La Lama's CRS (Customer Relationship Summary).

Certified licenses

Experience

INSIGHT SECURITIES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

DEUTSCHE BANK SECURITIES INC.

DEUTSCHE BANK SECURITIES INC.

BARCLAYS CAPITAL INC.

BARCLAYS CAPITAL INC.

HSBC SECURITIES (USA) INC.

HSBC SECURITIES (USA) INC.

STONEX INTERNATIONAL ADVISORS INC

STONEX INTERNATIONAL SECURITIES INC.

UBS INTERNATIONAL INC.

UBS INTERNATIONAL INC.

HSBC SECURITIES (USA) INC.

HSBC BROKERAGE (USA) INC.

IFMG SECURITIES, INC.

INVEST FINANCIAL CORPORATION

LPL FINANCIAL LLC

CITIGROUP GLOBAL MARKETS INC.

INVERWORLD SECURITIES, INC.

Primary Firm SEC Registration

INSIGHT SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/7/2009

Series 63

Date: 1/22/1998

SIE

Date: 10/1/2018

Series 7

Date: 6/15/1998

FINRA

Current Firm

INSIGHT SECURITIES, INC.

Contact information

SEC notice filing (36 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

INSIGHT SECURITIES, INC.

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