Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Diana? Claim Your ProfileDiana 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.
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
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
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
Active
Inactive
F
FINRA
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