DF
Diana Fernandez
AMERANT INVESTMENTS
Miami, FL
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CRD#: 3035366
DF
Professional summary
Diana Fernandez is a registered financial advisor currently at AMERANT INVESTMENTS, INC. located in Miami, Florida.
Diana is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Diana has 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"?
Yes
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.
Super Trucks of Florida Inc.; not investment-related; 2634 NW 27 Ave, Miami, FL 33142; Secretary since January 2016, 8 hours/month, none of which are during securities trading hours; assists with advertising trucks: taking pictures, updating ads, listing for sale, and assisting with customer inquiries. Mercantile Acceptance Corp.; not investment-related; P.O. Box 420089; Secretary since January 2016; no time dedicated regularly. Prime Properties Group Inc.; not investment-related; Secretary since January 2016, no time dedicated regularly.
CRS (Client Relationship Summary) - RIA
Click below to view Diana Fernandez's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Diana Fernandez's 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®
NoneExperience
Current
January 18, 2024 - Present
AMERANT INVESTMENTS, INC.
RIA
BD
CRD#: 117284
Miami, FL
Current
December 21, 2023 - Present
AMERANT INVESTMENTS, INC.
Office #1: 220 Alhambra Circle 2nd Floor, Coral Gables, FL 33134Office #2: 220 Alhambra Circle 2nd Floor, Coral Gables, FL 33134RIA
BD
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
BD
CRD#: 149777
Coral Gables, FL
Past
August 12, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
CORAL GABLES, FL
Past
June 30, 2004 - July 29, 2005
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Past
May 21, 2002 - June 8, 2004
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
Past
October 22, 1998 - April 23, 2002
PERSHING LLC
BD
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".
AI
AMERANT INVESTMENTS, INC.
AMERANT INVESTMENTS, INC. | MERCANTIL INVESTMENT SERVICES, INC. | MERCANTIL INVESTMENT SERVICES | MERCANTIL COMMERCEBANK INVESTMENT SERVICES | MERCANTIL COMMERCEBANK INVESTEMENT SERVICES, INC. | COMMERCEBANK INVESTMENTS SERVICES, INC. | COMMERCEBANK INVESTMENT SERVICES, INC. | COMMERCEBANK INVESTMENT SERVICES, 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)BD
Broker-Dealer Firm Regulated by FINRA (Florida 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.RR
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
RR
Florida(12/21/2023)
IAR
Florida(1/18/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 6/4/2024
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AI
AMERANT INVESTMENTS, INC.
AMERANT INVESTMENTS, INC. | MERCANTIL INVESTMENT SERVICES, INC. | MERCANTIL INVESTMENT SERVICES | MERCANTIL COMMERCEBANK INVESTMENT SERVICES | MERCANTIL COMMERCEBANK INVESTEMENT SERVICES, INC. | COMMERCEBANK INVESTMENTS SERVICES, INC. | COMMERCEBANK INVESTMENT SERVICES, INC. | COMMERCEBANK INVESTMENT SERVICES, 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)BD
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
41
SEC notice filing (8 States and Territories)
FINRA licenses (14 States and Territories)
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 | 1 |
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.
