Tony O. Diaz
Professional summary
Tony Orlando Diaz, who also goes by Tony Diaz, is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey and CP CLIENT SOLUTIONS LLC located in El Segundo, California.
Tony is registered as a RR (Registered Representative) and started their career in finance in 2018. Tony has worked at 5 firms and has passed the Series 63, Series 7TO, Series 99TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Tony Orlando Diaz's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 27, 2023 - Present
THE LEADERS GROUP, INC.
Office #1: 475 Springfield Ave, Summit, NJ 07901June 4, 2026 - Present
CP CLIENT SOLUTIONS LLC
Office #1: 101 North Pacific Coast Hwy Suite 305, El Segundo, CA 90245March 30, 2020 - July 30, 2021
APEX CLEARING CORPORATION
March 4, 2019 - July 30, 2021
ELECTRONIC TRANSACTION CLEARING, INC.
August 3, 2018 - February 1, 2019
WELLS FARGO CLEARING SERVICES, 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
(8/25/2023)
(7/27/2023)
(7/25/2025)
(2/25/2025)
(8/25/2023)
(8/25/2023)
Exams
Series 7TO
Date: 5/27/2021
General Securities Representative ExaminationSeries 99TO
Date: 6/8/2019
Operations Professional ExaminationFINRA
Current Firm
CP CLIENT SOLUTIONS LLC
CRD#: 330402 / SEC#: , 8-71277
Contact information
FINRA licenses (17 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.
