Diana Fernandez

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CRD#: 3035366

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.

Diana Fernandez was a registered financial professional .

Diana is a previously registered financial professional and started their career in finance in 1998. Diana had worked at 6 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 18, 2024 - March 30, 2026

AMERANT INVESTMENTS, INC.

RIA

CRD#: 117284

Miami, FL

Past

December 21, 2023 - March 30, 2026

AMERANT INVESTMENTS, INC.

CRD#: 117284

CORAL GABLES, FL

Past

April 2, 2016 - March 16, 2022

MORGAN STANLEY

RIA

CRD#: 149777

Coral Gables, FL

Past

June 1, 2009 - March 16, 2022

MORGAN STANLEY

CRD#: 149777

Coral Gables, FL

Past

August 12, 2005 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

CORAL GABLES, FL

Past

June 30, 2004 - July 29, 2005

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

May 21, 2002 - June 8, 2004

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

October 22, 1998 - April 23, 2002

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

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".

AMERANT INVESTMENTS, INC.

CRD#: 117284 / SEC#: 801-61889, 8-53612

RIA

Registered Investment Advisory firm - SEC (8/9/2002 Approved)

Florida

Registered Investment Advisory firm - SEC (8/19/2002 Terminated)

New York

Registered Investment Advisory firm - SEC (8/9/2002 Terminated)

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

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/2/2016

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/21/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 6/4/2024

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/21/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 7/1/2024

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 2/8/2024

General Securities Principal Examination

Current Firm

AMERANT INVESTMENTS, INC.

CRD#: 117284 / SEC#: 801-61889, 8-53612

RIA

Registered Investment Advisory firm - SEC (8/9/2002 Approved)

Florida

Registered Investment Advisory firm - SEC (8/19/2002 Terminated)

New York

Registered Investment Advisory firm - SEC (8/9/2002 Terminated)

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

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Contact information

Main Address

220 Alhambra Circle 2nd Floor, Coral Gables, FL 33134

Mailing Address

220 Alhambra Circle 2nd Floor, Coral Gables, FL 33134

Phone number

(305) 460-8599

Established

Delaware since 07/24/2001

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (8 States and Territories)

FINRA licenses (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A 3-26 (3/6/2026)

WRAP BROCHURE 9-24 (3/6/2026)

Direct owners and executive officers

Name	Position	CRD#
AMERANT BANK, N.A.	SHAREHOLDER
CALDERON YEPEZ, SHARYMAR EGLLEE	DIRECTOR	7809045
CAPRILES, ALBERTO MANUEL	DIRECTOR	6998024
GARGANTA, ANDRES JOSE	DIRECTOR	5483075
GUERRERO, SERGIO EMILIANO MR.	COO & FINOP	5718350
IAFIGLIOLA, CARLOS	DIRECTOR	7285620
LUCAS, EMERIS DEL VALLE	BRANCH MANAGER	5193416
RESTREPO, JOSE VICENTE	CCO	6148942

Regulatory assets under management

Total Number of Accounts	1,194
AUM (Assets Under Management)	$ 688,203,169

Disclosures

Regulatory Event

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

Diana Fernandez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AMERANT INVESTMENTS, INC.

AMERANT INVESTMENTS, INC.

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CREDIT SUISSE SECURITIES (USA) LLC

GOLDMAN SACHS & CO. LLC

PERSHING LLC

Primary Firm SEC Registration

AMERANT INVESTMENTS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/2/2016

Series 63

Date: 12/21/1998

Series 52TO

Date: 6/4/2024

SIE

Date: 10/1/2018

Series 7

Date: 10/21/1998

Series 53

Date: 7/1/2024

Series 24

Date: 2/8/2024

Current Firm

AMERANT INVESTMENTS, INC.

Contact information

SEC notice filing (8 States and Territories)

FINRA licenses (14 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

AMERANT INVESTMENTS, INC.

TRUST BUT VERIFY

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