Michael Diez
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.
Michael Diez was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1998. Michael had worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 22, 2016 - January 23, 2018
PHX FINANCIAL, INC.
April 9, 2014 - November 14, 2014
PFS INVESTMENTS INC.
April 25, 2008 - March 29, 2012
J.P. TURNER & COMPANY, L.L.C.
August 4, 2003 - April 25, 2008
JOSEPH STEVENS & CO., INC.
October 29, 2002 - September 2, 2003
BOLTON GLOBAL CAPITAL
June 24, 1999 - November 7, 2002
W.A. CAPITAL MARKETS
February 26, 1999 - June 23, 1999
JOSEPH GUNNAR & CO. LLC
April 22, 1998 - March 22, 1999
CAMBRIDGE CAPITAL, LLC
March 12, 1998 - March 23, 1998
FOSTER JEFFRIES SECURITIES, LLC
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
PHX FINANCIAL, INC.
CRD#: 144403 / SEC#: , 8-67653
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
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.
