Andres E. Diana
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.
Andres Esteban Diana, who also goes by Andres Diana, was a registered financial professional .
Andres is a previously registered financial professional and started their career in finance in 2006. Andres had worked at 7 firms and has passed the Series 63, SIE, Series 55, Series 7 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
January 29, 2016 - August 4, 2017
SI SECURITIES, LLC
November 7, 2014 - December 31, 2015
NORTH CAPITAL PRIVATE SECURITIES CORPORATION
June 19, 2013 - October 24, 2014
CHIMERA SECURITIES, LLC
April 8, 2011 - June 27, 2013
T3 TRADING GROUP, LLC
October 27, 2010 - August 1, 2011
DIMENSION SECURITIES, LLC
March 14, 2008 - November 4, 2008
FIS BROKERAGE & SECURITIES SERVICES LLC
July 3, 2006 - October 12, 2006
DIMENSION BROKERAGE, LLC
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
Series 55
Date: 4/17/2008
Limited Representative-Equity Trader ExamCurrent Firm
SI SECURITIES, LLC
CRD#: 170937 / SEC#: , 8-69440
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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