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Diana Rodriguez

Barclays Capital Inc.

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About Diana Rodriguez

Diana Rodriguez is a financial professional with experience in the industry. Diana holds the Series 99TO and SIE licenses. Diana is currently employed at Barclays Capital Inc.

Firm Information

Diana Rodriguez is currently registered with Barclays Capital Inc.. Barclays Capital Inc. is a Corporation formed on March 30, 1998 and is registered in all 50 states, as well as the District of Columbia, Puerto Rico and the Virgin Islands. The firm has a history of regulatory and civil events, with 120 regulatory disclosures and 4 civil disclosures on record.

Not reported

Assets Under Management

Not reported

Total Clients

434

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 Rodriguez’s Registration & Firm History

NY

10/10/2022 - Present

Barclays Capital Inc. (NEW YORK NY)

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Licenses & Designations

BC

Issued 10/10/2022

Series 99TO - Operations Professional Examination

BC

Issued 10/05/2022

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Diana Rodriguez.
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