Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Diane? Claim Your ProfileDiane Ruiz is a financial advisor with over 20 years of experience in the industry. Diane is currently registered with Santander Securities LLC and has been with the firm since May 2022. Before joining Santander Securities LLC, Diane worked for LPL Financial LLC, NYLIFE Securities LLC, HSBC Securities (USA) Inc. and Chase Investment Services Corp. Diane holds the Series 7, 9, 10, 24, 52TO, 53, 66 and SIE licenses and is a Registered Representative in 51 states. Diane specializes in providing financial planning, portfolio management and selection of other advisors for businesses and individuals.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
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2
MA
06/10/2022 - Present
Santander Securities LLC (Boston MA)
FL
09/21/2021 - 06/07/2022
LPL FINANCIAL LLC (PORT SAINT LUCIE FL)
NY
10/10/2020 - 09/23/2021
NYLIFE SECURITIES LLC (WHITE PLAINS NY)
NY
09/24/2008 - 06/05/2020
HSBC SECURITIES (USA) INC. (NEW YORK NY)
NY
08/11/2003 - 08/27/2008
CHASE INVESTMENT SERVICES CORP. (NEW YORK NY)
NY
10/14/2002 - 08/12/2003
NEUBERGER BERMAN, LLC (NEW YORK NY)
MO
11/06/2001 - 05/16/2002
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
BOTH
Issued 05/04/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/29/2009
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/02/2009
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/16/2005
Series 53 - Municipal Securities Principal Examination
BC
Issued 11/22/2004
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/05/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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