Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Diana? Claim Your ProfileDiana Laverda is a financial professional with over 20 years of experience in the financial services industry. Diana has a Series 7, Series 63, and SIE licenses, and has been registered with the Financial Industry Regulatory Authority (FINRA) for over 20 years. Diana currently works at Maxim Group LLC, and has also worked for Keefe, Bruyette & Woods, Inc. and Trautman Wasserman & Company, Inc.
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
06/28/2021 - Present
Maxim Group LLC (NEW YORK NY)
NY
03/08/2006 - 07/17/2019
KEEFE, BRUYETTE & WOODS, INC. (NEW YORK NY)
NY
03/16/2001 - 03/01/2006
TRAUTMAN WASSERMAN & COMPANY, INC. (NEW YORK NY)
NY
10/30/1997 - 04/05/2001
SANDS BROTHERS & CO., LTD. (NEW YORK NY)
BC
Issued 11/17/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/29/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE Arca, Inc.
N
Nasdaq Stock Market
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