Diana Washington
Professional summary
Diana Washington, who also goes by Diana Barone, Diana Rodriguez, is a registered financial professional currently at BROKERTEC AMERICAS LLC located in New York, New York.
Diana is registered as a RR (Registered Representative) and started their career in finance in 2021. Diana has worked at 1 firm and has passed the Series 99TO, Series 7TO, SIE and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Diana Washington's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 8, 2021 - Present
BROKERTEC AMERICAS LLC
Office #1: 300 Vesey Street 7th Floor, New York, NY 10282State 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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 3/6/2021
General Securities Representative ExaminationFINRA
Current Firm
BROKERTEC AMERICAS LLC
CRD#: 47477 / SEC#: , 8-51803
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROKERTEC HOLDINGS INC. | 100% OWNERSHIP | |
| CALDERON, DAVID JASON | CHIEF FINANCIAL OFFICER | 4575354 |
| DENNIS, MICHAEL | DIRECTOR | 4192184 |
| HIRSCHMANN, ELISA M | CHIEF COMPLIANCE OFFICER AND DIRECTOR | 5112554 |
| WAKEFIELD, JONATHAN BISHOP | CEO - CHIEF EXECUTIVE OFFICER AND DIRECTOR | 1676639 |
| WEINMAN, ANDREW LEONARD | CHIEF OPERATIONS OFFICER AND DIRECTOR | 5209879 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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