Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Diana? Claim Your ProfileDiana Alexandra Thomas is a financial advisor with over 17 years of experience in the industry. She has held previous roles at Goldman Sachs & Co. LLC, RBC Capital Markets, LLC, and J.P. Morgan Securities Inc. Diana is currently registered with J.p. Morgan Securities LLC and holds a Series 7, Series 63, and Series 65 license. Diana's specializations include providing financial advice to individuals, corporations, and high-net-worth clients. She also offers financial planning, portfolio management, and pension consulting 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.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
NY
02/16/2024 - Present
J.p. Morgan Securities LLC (New York NY)
NY
05/30/2017 - 05/10/2018
RBC CAPITAL MARKETS, LLC (NEW YORK NY)
NY
05/21/2014 - 06/20/2017
GOLDMAN SACHS & CO. LLC (NEW YORK NY)
NY
10/01/2008 - 09/17/2009
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
05/01/2001 - 10/01/2008
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
09/27/1999 - 05/01/2001
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
IA
Issued 02/16/2024
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/27/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/21/2014
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
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