Diana Alderbashi
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.
Diana Alderbashi, who also goes by Diana - Alderbashi Ms, was a registered financial professional .
Diana is a previously registered financial professional and started their career in finance in 2014. Diana had worked at 1 firm and has passed the Series 63, Series 7TO, Series 79TO, Series 99TO, SIE, Series 7, Series 79 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
December 26, 2014 - March 30, 2020
WEALTHFORGE SECURITIES, 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 7TO
Date: 3/26/2024
General Securities Representative ExaminationSeries 79TO
Date: 3/26/2024
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 3/26/2024
Operations Professional ExaminationCurrent Firm
WEALTHFORGE SECURITIES, LLC
CRD#: 152550 / SEC#: , 8-68464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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