Diego B. Del Castillo Negrete
Professional summary
Diego B Del Castillo Negrete is a registered financial professional currently at STANDARD CHARTERED SECURITIES NORTH AMERICA LLC located in Houston, Texas.
Diego is registered as a RR (Registered Representative) and started their career in finance in 2012. Diego has worked at 3 firms and has passed the Series 63, Series 7TO, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Diego B Del Castillo Negrete's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 5, 2023 - Present
STANDARD CHARTERED SECURITIES NORTH AMERICA LLC
Office #1: 2700 Post Oak Boulevard 7th Floor, Suite 750, Houston, TX 77056September 29, 2014 - April 7, 2023
CREDIT SUISSE SECURITIES (USA) LLC
August 8, 2012 - September 5, 2014
BARCLAYS CAPITAL 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
(6/5/2023)
(6/5/2023)
(6/5/2023)
Exams
Series 7TO
Date: 6/15/2022
General Securities Representative ExaminationFINRA
Current Firm
STANDARD CHARTERED SECURITIES NORTH AMERICA LLC
CRD#: 130847 / SEC#: , 8-66397
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STANDARD CHARTERED HOLDINGS INC. | OWNER | |
| DEFILIPPO, MANDY J | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 7184614 |
| HAUSCHILD, AUGUST DANIEL | ANTI MONEY LAUNDERING COMPLIANCE OFFICER | 4287421 |
| JONES, PAUL FAULKNER | CHIEF RISK OFFICER | 7630280 |
| NIELSEN, PETER | FINANCIAL AND OPERATIONS PRINCIPAL | 1072259 |
| PAULIC, JACINTA | CHIEF COMPLIANCE OFFICER, HEAD, CFCC ADVISORY FM AMERICAS | 5823367 |
Red Flags
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