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David Anthony Diaz

Clear Street LLC

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About David Anthony Diaz

David Anthony Diaz is a securities professional with over 28 years of experience in the financial services industry. David is currently registered with Clear Street LLC and holds FINRA Series 7, 55, 57TO, and SIE licenses along with a Series 63 license. David has worked for several well-known firms including Virtu Americas LLC, Knight Capital Americas, L.P., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. David is a licensed securities professional in New York.

Firm Information

David Diaz is currently registered with Clear Street LLC. Clear Street LLC is a Limited Liability Company formed in December 2016. The firm is registered in all 50 states, as well as Puerto Rico, the Virgin Islands, and the District of Columbia. They are also registered with the Securities and Exchange Commission (SEC).

Not reported

Assets Under Management

Not reported

Total Clients

149

Total Financial Advisors

Services Offered

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.

Fee Structure

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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David Diaz’s Registration & Firm History

NY

07/21/2022 - Present

Clear Street LLC (NEW YORK NY)

NY

07/02/2012 - 07/25/2022

VIRTU AMERICAS LLC (New York NY)

NJ

02/23/2009 - 07/02/2012

KNIGHT CAPITAL AMERICAS, L.P. (JERSEY CITY NJ)

NY

02/12/2002 - 02/12/2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NY

02/13/2002 - 10/25/2002

HERZOG, HEINE, GEDULD, LLC (NEW YORK NY)

NY

11/22/1994 - 02/11/2002

HERZOG, HEINE, GEDULD, LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 04/19/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/08/1999

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 11/21/1994

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

F

FINRA

L

Long-Term Stock Exchange, Inc.

M

MIAX PEARL, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for David Anthony Diaz.
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