Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Diana? Claim Your ProfileDiana Guzman is a securities professional with over 13 years of experience in the financial industry. Diana holds the Series 7, Series 99 and SIE licenses. Diana is currently registered with TD Securities (USA) LLC. Prior to her current role, Diana Guzman was employed by RBS Securities Inc. and The Island ECN.
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
09/14/2018 - Present
TD Securities (usa) LLC (NEW YORK NY)
CT
10/04/2013 - 03/27/2017
RBS SECURITIES INC. (STAMFORD CT)
NJ
05/31/2002 - 03/28/2003
THE ISLAND ECN (JERSEY CITY NJ)
BC
Issued 07/11/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/04/2013
Series 99 - Operations Professional Examination
BC
Issued 05/30/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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