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DW

Diana M. Weinstein

GT SECURITIES
Los Angeles, CA 90094
Some features on this profile are disabled
CRD#: 5020152
DW

Professional summary

Diana Maria Weinstein, who also goes by Diana Weinstein, is a registered financial professional currently at GT SECURITIES, INC. located in Los Angeles, California.

Diana is registered as a RR (Registered Representative) and started their career in finance in 2005. Diana has worked at 4 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Diana Weinstein

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 Maria Weinstein'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

August 25, 2020 - Present

GT SECURITIES, INC.

Office #1: 12130 Millennium Dr Suite 300, Los Angeles, CA 90094
BD
CRD#: 116012
Los Angeles, CA
Past

May 12, 2017 - September 25, 2018

FUSION ANALYTICS SECURITIES LLC

BD
CRD#: 124245
New York, NY
Past

August 2, 2007 - April 1, 2009

PURSUIT PARTNERS LLC

BD
CRD#: 115014
STAMFORD, CT
Past

October 4, 2005 - July 23, 2007

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

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
California
(8/26/2020)
RR
Florida
(5/10/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 5/19/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/25/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 9/21/2017
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 5/12/2017
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 10/24/2005
National Commodity Futures Examination
SRO Registrations
RR
FINRA

Current Firm

GS
GT SECURITIES, INC.
GROWTHINK SECURITIES, INC. | GT SECURITIES, INC. | GROWTHINK, INC.

CRD#: 116012 / SEC#: , 8-53527

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

Main Address
12130 Millennium Dr Suite 300, Los Angeles, CA 90094
Mailing Address
12130 Millennium Dr, Los Angeles, CA 90094
Phone number
(310) 846-5004
Established
California since 12/06/2001
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GROWTHINK, INC.PARENT CORPORATION
LAVINSKY, DAVID KENNETHMANAGING DIRECTOR4455040
TURO, JAMES STEVENMANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER2083402

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

GT SECURITIES, INC.

CRD#: 116012Los Angeles, CA 90094

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