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Diana E. Anderson

BRIGHT TRADING
Henderson, NV 89052
Some features on this profile are disabled
CRD#: 4894089
DA

Professional summary

Diana Elizabeth Anderson, who also goes by Diana Elizabeth Diaz, is a registered financial professional currently at BRIGHT TRADING, LLC located in Henderson, Nevada.

Diana is registered as a RR (Registered Representative) and started their career in finance in 2008. Diana has worked at 1 firm and has passed the Series 7TO, Series 57TO, SIE, Series 7, Series 14 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Diana Elizabeth Diaz

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 Elizabeth Anderson'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 1, 2008 - Present

BRIGHT TRADING, LLC

Office #1: 10521 Jeffreys Street, Suite 121, Henderson, NV 89052
BD
CRD#: 34702
Henderson, NV

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/11/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/27/2014
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

BT
BRIGHT TRADING, LLC
BRIGHT TRADING, INC. | BRIGHT TRADING, LLC

CRD#: 34702 / SEC#: , 8-44990

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

Main Address
10521 Jeffreys Street, Suite 121, Henderson, NV 89052
Mailing Address
6061 Topaz Street, Las Vegas, NV 89120
Phone number
(702) 739-1393
Established
Nevada since 07/31/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
BRIGHT INVESTMENTS, LLCMANAGING MEMBER
ARLINSKY, KOSTATRADER5510518
ARLINSKY, STEVETRADER5510563
JONES, KEN ANDOTRADER5512985
SORGIC, SINISATRADER5513001
ANDERSON, DIANA ELIZABETHCOMPLIANCE DIRECTOR/ CHIEF COMPLIANCE OFFICER4894089
BRIGHT, ROBERT ALVINCEO, CFO1148394
CHAN, STEPHEN KEI ONTRADER5571223
FRIESEN, ROBIN DALEPRESIDENT/CHIEF OPERATING OFFICER5518030
ROSS, CHRISTINE ANGELCFO, FINOP5512412
SHILLETTO, ANDREW E MR.TRADER4793136
WALENTINY, CARLO ANNE JOSEPHTRADER5518113

Disclosures

Regulatory Event5
Arbitration1

Red Flags

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Company Information

BRIGHT TRADING, LLC

CRD#: 34702Henderson, NV 89052

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