Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Diel is a financial professional with over 20 years of experience in the securities industry. Brian is currently registered with Smbc Nikko Securities America, Inc. Brian has a broad range of experience in the securities industry, including experience in the municipal securities, commodity futures, and general securities markets. Brian holds the Series 3, 7, 52TO and SIE licenses.
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.
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.
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2
NY
04/29/2014 - Present
Smbc Nikko Securities America, Inc. (NEW YORK NY)
NY
03/19/2013 - 04/16/2014
NABSECURITIES, LLC (NEW YORK NY)
NY
04/26/2007 - 03/13/2013
SG AMERICAS SECURITIES, LLC (NEW YORK NY)
NY
10/13/2003 - 05/10/2007
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
BC
Issued 12/13/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/21/2012
Series 3 - National Commodity Futures Examination
BC
Issued 10/10/2003
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
N
NYSE Arca, Inc.
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