Diana L. Dominguez
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.
Diana Laura Dominguez, who also goes by Diana Laura Sanchez, was a registered financial professional .
Diana is a previously registered financial professional and started their career in finance in 2005. Diana had worked at 3 firms and has passed the Series 66, SIE, Series 7, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 7, 2014 - June 18, 2020
USAA FINANCIAL ADVISORS, INC.
September 6, 2007 - June 1, 2010
USAA FINANCIAL ADVISORS, INC.
September 15, 2006 - June 22, 2020
USAA INVESTMENT SERVICES COMPANY
September 15, 2006 - June 22, 2020
USAA INVESTMENT SERVICES COMPANY
January 24, 2005 - November 17, 2005
A. G. EDWARDS & SONS, INC.
January 12, 2005 - November 17, 2005
A. G. EDWARDS & SONS, 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
Current Firm
USAA FINANCIAL ADVISORS, INC.
CRD#: 129035 / SEC#: , 8-66197
Contact information
Documents
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.
