Diego Herrera
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.
Diego Herrera, who also goes by Diego Emilio Herrera, was a registered financial professional .
Diego is a previously registered financial professional and started their career in finance in 2020. Diego had worked at 2 firms and has passed the Series 63, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 17, 2023 - May 15, 2025
ALTO SECURITIES, LLC
July 27, 2020 - July 6, 2021
MORGAN STANLEY & CO. LLC
State Registrations and Notice Filings
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Exams
Series 7TO
Date: 7/27/2020
General Securities Representative ExaminationCurrent Firm
ALTO SECURITIES, LLC
CRD#: 318536 / SEC#: , 8-70863
Contact information
FINRA licenses (51 States and Territories)
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.
