Diana Figueroa

FORESIDE FUND SERVICES

Sherman Oaks, CA

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CRD#: 4716762

Professional summary

Diana Figueroa is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Sherman Oaks, California.

Diana is registered as a RR (Registered Representative) and started their career in finance in 2005. Diana has worked at 6 firms and has passed the Series 63, SIE, Series 7 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) - BD

Click below to view Diana Figueroa's CRS (Customer Relationship Summary).

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

December 8, 2015 - Present

FORESIDE FUND SERVICES, LLC

Office #2: 333 S. Grand Avenue 18th Floor, Los Angeles, CA 90071

CRD#: 46106

Sherman Oaks, CA

Past

April 1, 2014 - October 29, 2015

PIMCO INVESTMENTS LLC

CRD#: 154957

NEWPORT BEACH, CA

Past

October 19, 2011 - March 28, 2014

BOUSTEAD SECURITIES, LLC

CRD#: 141391

EL SEGUNDO, CA

Past

July 22, 2008 - November 23, 2009

FINANCIAL ADVISERS OF AMERICA, LLC

CRD#: 142170

CARLSBAD, CA

Past

April 28, 2006 - August 1, 2006

GIRARD SECURITIES, INC.

CRD#: 18697

ORANGE, CA

Past

November 14, 2005 - March 24, 2006

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

WAVERLY, IA

State Registrations and Notice Filings

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

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

California
(12/8/2015)

Exams

State Security Law Exam

Series 63

Date: 10/27/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/12/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/12/2014

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

FORESIDE FUND SERVICES, LLC

FORESIDE FUND SERVICES, LLC | FORUM FUND SERVICES, LLC

CRD#: 46106 / SEC#: , 8-51293

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

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Contact information

Main Address

190 Middle Street Suite 301, Portland, ME 04101

Mailing Address

190 Middle Street Suite 301, Portland, ME 04101

Phone number

(207) 553-7110

Established

Delaware since 09/08/1998

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
FORESIDE DISTRIBUTORS, LLC	SOLE MEMBER
COWAN, TERESA MARIA KAZMIERSKI	PRES/MANAGER/DIRECTOR	1544189
EDELMAN, GABRIEL	SECRETARY	6654419
LA FOND, SUSAN LORENE	TREASURER	4512785
LANZA, CHRISTOPHER CONTE	VICE PRESIDENT	2184856
MACCHIA, KATE SCHENDEL	VICE PRESIDENT	4863973
SOMMERS, WESTON	CFO/FINOP	5290145
STROUT, ALICIA KIMBERLY	CHIEF COMPLIANCE OFFICER/VICE PRESIDENT	6320351

Red Flags

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Diana Figueroa

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Diana Figueroa's CRS (Customer Relationship Summary).

Certified licenses

Experience

PIMCO INVESTMENTS LLC

BOUSTEAD SECURITIES, LLC

FINANCIAL ADVISERS OF AMERICA, LLC

GIRARD SECURITIES, INC.

CUNA BROKERAGE SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/27/2004

SIE

Date: 10/1/2018

Series 7

Date: 11/12/2005

Series 24

Date: 6/12/2014

FINRA

Current Firm

FORESIDE FUND SERVICES, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

FORESIDE FUND SERVICES, LLC

TRUST BUT VERIFY

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