Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alphonso? Claim Your ProfileAlphonso Diaz is a financial professional with over 20 years of experience in the financial services industry. Currently, Alphonso is registered with Bofa Securities, Inc. Alphonso has a Series 7, Series 63 and Series 55 licenses as well as the SIE exam and Uniform Investment Adviser Law Examination. Previously, Alphonso was a registered representative with Merrill Lynch, Pierce, Fenner & Smith Incorporated, HSBC Securities (USA) Inc., Brean Capital, LLC, Fidelity Brokerage Services LLC, UBS Securities LLC, and UBS Capital Markets L.P. Alphonso has a strong track record of providing clients with personalized financial advice and investment strategies.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Research-related services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Negotiated fees for research-related services
1
2
NY
05/10/2019 - Present
Bofa Securities, Inc. (NEW YORK NY)
NY
02/28/2018 - 05/10/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
05/06/2015 - 07/24/2017
HSBC SECURITIES (USA) INC. (NEW YORK NY)
NY
11/04/2013 - 01/09/2015
BREAN CAPITAL, LLC (NEW YORK NY)
CT
04/01/2013 - 10/30/2013
FIDELITY BROKERAGE SERVICES LLC (NEW HAVEN CT)
NY
04/20/2005 - 02/01/2013
UBS SECURITIES LLC (NEW YORK NY)
CT
07/20/2005 - 02/15/2006
UBS CAPITAL MARKETS L.P. (STAMFORD CT)
CT
01/08/1998 - 05/25/2005
UBS CAPITAL MARKETS L.P. (STAMFORD CT)
TX
10/20/1997 - 05/15/1998
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
IA
Issued 05/03/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/14/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/30/1998
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 10/17/1997
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Alphonso Diaz is the right advisor for you? Invested Better is here to help.
