Daniel M. Diaz
Professional summary
Daniel Matthew Diaz, who also goes by Daniel M Diaz, is a registered financial professional currently at PHX FINANCIAL, INC. located in New York, New York.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 2017. Daniel has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Daniel Matthew Diaz's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 13, 2019 - Present
PHX FINANCIAL, INC.
Office #1: 100 Wall Street 10th Floor, New York, NY 10005May 13, 2019 - December 17, 2019
NATIONAL SECURITIES CORPORATION
December 19, 2017 - March 19, 2019
NATIONAL SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/6/2020)
(3/5/2021)
(1/16/2020)
(4/9/2021)
(12/13/2019)
(1/6/2020)
(1/15/2020)
(1/29/2025)
(8/11/2020)
(1/7/2020)
(4/9/2021)
(8/8/2022)
(8/8/2022)
(1/29/2020)
(1/17/2020)
(7/24/2020)
(3/11/2020)
(1/15/2020)
(5/17/2021)
(8/23/2021)
(9/17/2021)
(1/6/2020)
(9/18/2020)
(1/3/2020)
(8/11/2020)
(1/6/2020)
(3/5/2020)
(3/28/2023)
(1/6/2020)
(1/6/2020)
(8/21/2022)
(12/13/2019)
(4/8/2021)
(1/10/2020)
(10/5/2021)
(1/3/2020)
(1/23/2020)
(5/15/2024)
(1/27/2023)
(7/9/2020)
(1/16/2020)
(5/17/2023)
(12/13/2019)
(12/16/2021)
(11/21/2021)
(12/17/2019)
(1/6/2020)
(9/18/2020)
Exams
FINRA
Current Firm
PHX FINANCIAL, INC.
CRD#: 144403 / SEC#: , 8-67653
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
Red Flags
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