Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Diana? Claim Your ProfileDiana Thai is a financial professional with a focus on investment banking. Diana has been in the industry since October 27, 2023. She is currently registered with Guggenheim Securities, LLC. Diana holds the Series 79TO, Series 63, and SIE licenses and is registered to conduct business in Texas. Diana is a valued member of the team at Guggenheim Securities, LLC.
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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TX
10/28/2023 - Present
Guggenheim Securities, LLC (Houston TX)
BC
Issued 08/21/2023
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/27/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 05/31/2023
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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