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Diana Elizabeth Bergherr

Absa Securities U.s. Inc.

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About Diana Elizabeth Bergherr

Diana Bergherr is a financial advisor currently registered with Absa Securities U.s. Inc. and located in New York, NY. Diana has been in the financial industry for over 30 years. Diana has a wide range of experience in the financial industry, having held positions at various firms including Haitong Securities USA LLC, China Renaissance Securities (US) Inc., Exotix USA Inc., Numis Securities Inc., AXA Advisors, LLC, Macquarie Securities (USA) Inc., Macquarie Corporate Finance (USA) Inc., Bluestone Capital Partners, L.P., Credit Lyonnais Securities (USA), Inc., Gates Capital Corporation, Marine Midland Securities, Inc., Shearson Lehman Hutton Inc., and E. F. Hutton & Company Inc. Diana has a strong background in both investment banking and wealth management.

Firm Information

Diana Bergherr is currently registered with Absa Securities U.s. Inc.. Absa Securities U.S. Inc. is a Corporation formed on September 6, 2018. The firm is registered in California, Connecticut, Illinois, New York, and Pennsylvania. It is also registered with the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

4

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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Diana Bergherr’s Registration & Firm History

NY

02/25/2020 - Present

Absa Securities U.s. Inc. (New York NY)

NY

09/28/2016 - 09/11/2018

HAITONG SECURITIES USA LLC (New York NY)

NY

10/15/2013 - 08/05/2016

CHINA RENAISSANCE SECURITIES (US) INC. (NEW YORK NY)

NY

11/15/2012 - 10/15/2015

EXOTIX USA INC. (NEW YORK NY)

NY

10/04/2007 - 01/03/2012

NUMIS SECURITIES INC. (NEW YORK NY)

NY

04/13/2007 - 09/26/2007

AXA ADVISORS, LLC (MELVILLE NY)

NY

07/31/2000 - 08/16/2006

MACQUARIE SECURITIES (USA) INC. (NEW YORK NY)

NY

07/19/2000 - 07/30/2003

MACQUARIE CORPORATE FINANCE (USA) INC. (NEW YORK NY)

NY

04/27/2000 - 07/07/2000

BLUESTONE CAPITAL PARTNERS, L.P. (NEW YORK NY)

NY

06/27/1995 - 04/19/2000

CREDIT LYONNAIS SECURITIES (USA), INC. (NEW YORK NY)

NY

09/02/1993 - 07/12/1994

GATES CAPITAL CORPORATION (NEW YORK NY)

NY

02/21/1989 - 04/07/1992

MARINE MIDLAND SECURITIES, INC. (NEW YORK NY)

NA

02/15/1988 - 07/09/1988

SHEARSON LEHMAN HUTTON INC.

NA

04/23/1986 - 02/15/1988

E. F. HUTTON & COMPANY INC

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Licenses & Designations

BC

Issued 06/16/1986

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 01/02/2023

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 04/25/1997

Series 14 - Compliance Officer Examination

BC

Issued 02/21/1997

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 12/26/1989

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 09/11/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/19/1986

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Diana Elizabeth Bergherr.
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