Yesenia Cruz 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.
Yesenia Cruz Diaz, who also goes by Yesenia Cruz, was a registered financial professional .
Yesenia is a previously registered financial professional and started their career in finance in 2002. Yesenia had worked at 6 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 4, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 19, 2024 - November 21, 2024
FIRST SOUTHERN, LLC
February 1, 2023 - August 24, 2023
INSIGNEO SECURITIES, LLC
November 24, 2010 - August 24, 2023
INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC
August 6, 2009 - November 19, 2010
RD CAPITAL GROUP, INC.
June 11, 2008 - May 22, 2009
INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC
January 9, 2002 - May 28, 2008
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO
January 9, 2002 - May 28, 2008
UBS FINANCIAL SERVICES INC.
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 99TO
Date: 1/3/2023
Operations Professional ExaminationCurrent Firm
FIRST SOUTHERN, LLC
CRD#: 282756 / SEC#: , 8-69733
Contact information
FINRA licenses (35 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BENT, INC. | SHAREHOLDER | |
| HEEHAW INC. | SHAREHOLDER | |
| VSPR, INC. | SHAREHOLDER | |
| PAGAN MARXUACH, RAFAEL ANTONIO | OWNER | 2863850 |
| HAWK, WILLIAM HEATH | PRESIDENT/CEO/MANAGING MEMBER | 2494928 |
| JACKELS, STEPHANIE KANE | FINOP/PFO | 5928877 |
| JONES, SHARON DOSTER | CHIEF COMPLIANCE OFFICER | 3124470 |
| SFYRIS, VASILEIOS ALEXIOS | MANAGING MEMBER/POO | 4026992 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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