Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Claudia? Claim Your ProfileClaudia Ann Brown Diaz is a registered representative with Morgan Stanley. Claudia has been working in the financial services industry since 1993. Claudia holds a Series 7, 63, 65, and SIE license. Claudia has worked for a number of firms in the past, including NYLIFE Securities LLC, Salomon Smith Barney Inc., and Lehman Brothers Inc. Claudia is currently registered in 41 states and 2 states for Investment Advisor. Claudia is also a registered representative with FINRA. Claudia specializes in a number of investment areas including asset allocation, financial planning, pension consulting, educational seminars, selection of other advisors, and portfolio management. Claudia is dedicated to providing her clients with the highest quality financial advice and services.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NJ
12/05/2022 - Present
Morgan Stanley (Short Hills NJ)
NJ
10/15/2021 - 10/06/2022
NYLIFE SECURITIES LLC (LIVINGSTON NJ)
NY
07/31/1993 - 02/29/2000
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
07/20/1993 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 06/11/2022
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/01/2021
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/08/2021
Series 7TO - General Securities Representative Examination
BC
Issued 10/15/2021
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 07/20/2021
SIE - Securities Industry Essentials Examination
BC
Issued 07/19/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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