Carly J. De Diego
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.
Carly Jo De Diego, who also goes by Carly Jo Kotinek, was a registered financial professional .
Carly is a previously registered financial professional and started their career in finance in 2004. Carly had worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 16, 2009 - December 19, 2012
MANAGED ACCOUNT ADVISORS LLC
March 22, 2005 - November 5, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 9, 2004 - November 24, 2004
TD AMERITRADE CLEARING, INC.
Primary Firm SEC Registration
MANAGED ACCOUNT ADVISORS LLC
CRD#: 142558 / SEC#: 801-67569
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
Current Firm
MANAGED ACCOUNT ADVISORS LLC
CRD#: 142558 / SEC#: 801-67569
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,028,672 |
| AUM (Assets Under Management) | $ 829,737,908,017 |
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.
