DL
Diogenis J. Leiva
MMA SECURITIES LLC
New York, NY 10036
Some features on this profile are disabled
CRD#: 6950075
DL
Professional summary
Diogenis Jorge Leiva, who also goes by Diogenis Leiva, is a registered financial advisor currently at MMA SECURITIES LLC located in New York, New York.
Diogenis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Diogenis has worked at 2 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Diogenis Leiva
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. Name of Entity: Diogenis Leiva Dog Training; Address of Entity: 24943 61st Ave FL 2 Little Neck NY 11362; Type of Business: Sole Proprietorship; Position: Dog Trainer; Duties/Responsibilities: Training dogs; Compensation received: Hourly rate for sessions; Is this Outside Business Activity investment related? No; Approximate amount of time devoted on a monthly basis: 10 hours/ monthly; Approximate amount of time devoted during normal trading hours: 0 hours; Start Date - 07/2021 2. Magician; non-investment related; New York; Magician; Start Date Dec 11, 2024; 10 hours a month not during trading hours; Magical Entertainment
CRS (Client Relationship Summary) - RIA
Click below to view Diogenis Jorge Leiva's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Diogenis Jorge Leiva's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 14, 2023 - Present
MMA SECURITIES LLC
Office #1: 1166 Avenue Of The Americas 23rd Floor, New York, NY 10036RIA
BD
CRD#: 44254
New York, NY
Current
August 14, 2023 - Present
MMA SECURITIES LLC
Office #1: 1166 Avenue Of The Americas 23rd Floor, New York, NY 10036RIA
BD
CRD#: 44254
New York, NY
Past
July 5, 2018 - August 4, 2023
TD PRIVATE CLIENT WEALTH LLC
RIA
CRD#: 164484
NEW YORK, NY
Past
May 18, 2018 - August 4, 2023
TD PRIVATE CLIENT WEALTH LLC
BD
CRD#: 164484
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
MS
MMA SECURITIES LLC
COMPASS FINANCIAL PARTNERS | NIA SECURITIES, L.L.C. | MMA SECURITIES LLC | MMA RETIREMENT & WEALTH | MMA - DAWSON | MMA - CENTURION | MMA - BROWER | MMA - BARNEY & BARNEY | MMA - ASSURANCE
CRD#: 44254 / SEC#: 801-100377, 8-50591
RIA
Registered Investment Advisory firm - SEC (7/7/2015 Approved)Connecticut
Registered Investment Advisory firm - SEC (5/23/2013 Terminated)New Jersey
Registered Investment Advisory firm - SEC (5/2/2013 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
New York(8/14/2023)
IAR
New York(8/14/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 4/8/2022
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
MS
MMA SECURITIES LLC
COMPASS FINANCIAL PARTNERS | NIA SECURITIES, L.L.C. | MMA SECURITIES LLC | MMA RETIREMENT & WEALTH | MMA - DAWSON | MMA - CENTURION | MMA - BROWER | MMA - BARNEY & BARNEY | MMA - ASSURANCE
CRD#: 44254 / SEC#: 801-100377, 8-50591
RIA
Registered Investment Advisory firm - SEC (7/7/2015 Approved)Connecticut
Registered Investment Advisory firm - SEC (5/23/2013 Terminated)New Jersey
Registered Investment Advisory firm - SEC (5/2/2013 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1166 Avenue Of The Americas, New York, NY 10036
Mailing Address
1166 Avenue Of The Americas, New York, NY 10036
Phone number
(917) 625-4069
Established
New Jersey since 02/03/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
179
SEC notice filing (52 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
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.
