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DD

Dennis Diaz

Some features on this profile are disabled
CRD#: 5720975
DD

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.

Dennis Diaz was a registered financial professional .

Dennis is a previously registered financial professional and started their career in finance in 2009. Dennis had worked at 2 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 19, 2010 - December 14, 2012

WINDSOR STREET CAPITAL, LP

BD
CRD#: 34171
NEW YORK, NY
Past

October 14, 2009 - April 6, 2010

FIRST MIDWEST SECURITIES, INC.

BD
CRD#: 21786
NEW YORK, NY

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

State Security Law Exam
RR
Series 63
Date: 11/13/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/13/2009
General Securities Representative Examination

Current Firm

WS
WINDSOR STREET CAPITAL, LP
JANSSEN-MEYERS ASSOCIATES, L.P. | WINDSOR STREET CAPITAL, LP | ROAN/MEYERS ASSOCIATES, L.P. | ROAN-MEYERS ASSOCIATES, LP | MEYERS ASSOCIATES, L.P.

CRD#: 34171 / SEC#: , 8-46219

BD
Cancelled by SEC on 02/05/2020
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 04/01/1993
Firm type
Partnership
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MEYERS SECURITIES CORP.GENERAL PARTNER

Disclosures

Regulatory Event37
Arbitration15

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

WINDSOR STREET CAPITAL, LP

CRD#: 34171

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