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DD

David M. Diez

WAUBANK SECURITIES LLC
PITTSBURGH, PA 15219
Some features on this profile are disabled
CRD#: 3174442
DD

Professional summary

David Michael Diez is a registered financial professional currently at WAUBANK SECURITIES LLC located in Pittsburgh, Pennsylvania.

David is registered as a RR (Registered Representative) and started their career in finance in 1999. David has worked at 3 firms and has passed the Series 63, Series 52TO, Series 7TO, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view David Michael Diez'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®
None

Experience

Current

April 6, 2021 - Present

WAUBANK SECURITIES LLC

Office #1: 626 Washington Place, Pittsburgh, PA 15219
BD
CRD#: 310408
PITTSBURGH, PA
Past

September 29, 2015 - February 26, 2019

BNY MELLON CAPITAL MARKETS, LLC

BD
CRD#: 17454
PITTSBURGH, PA
Past

January 2, 2004 - May 18, 2004

BNY MELLON SECURITIES LLC

BD
CRD#: 47268
JERSEY CITY, NJ
Past

December 8, 2003 - December 17, 2003

BNY MELLON SECURITIES LLC

BD
CRD#: 47268
JERSEY CITY, NJ
Past

February 9, 1999 - February 4, 2015

BNY MELLON CAPITAL MARKETS, LLC

BD
CRD#: 17454
PITTSBURGH, PA

State Registrations and Notice Filings

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

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
Pennsylvania
(4/12/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 4/8/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/8/1999
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

WS
WAUBANK SECURITIES LLC
WAUBANK SECURITIES LLC

CRD#: 310408 / SEC#: , 8-70589

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
626 Washington Place, Pittsburgh, PA 15219
Mailing Address
626 Washington Place, Pittsburgh, PA 15219
Phone number
(412) 230-8280
Established
Pennsylvania since 02/24/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
F.N.B. CORPORATIONOWNER
ATTANASIO, ELIZABETH MARIEFINOP5325007
DIEZ, DAVID MICHAELCAPITAL MARKETS BANKER3174442
DUTEY, JAMES LEEBOARD OF DIRECTOR
EL NOKALI, AHMEDCHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND BOARD OF DIRECTOR
MITCHELL, DAVID BRYANTCHIEF EXECUTIVE OFFICER3065614
WHITESEL, THOMAS M.BOARD OF DIRECTOR
ZELCH, THEODORE LAINEAML COMPLIANCE OFFICER7610581

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.

Company Information

WAUBANK SECURITIES LLC

CRD#: 310408Pittsburgh, PA 15219

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