Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dianna? Claim Your ProfileDianna Vega is a financial advisor currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Dianna has been in the financial services industry for over 10 years and is licensed to provide investment advice in several states. She has previously worked at Wells Fargo Clearing Services, LLC, and J.P. Morgan Securities LLC. Dianna specializes in providing portfolio management for individuals and businesses, as well as pension consulting. She is also able to provide other advisory services including performance measurement reports, allocation modeling, research reports, and services for selecting other advisors.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NY
04/11/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
TX
05/01/2017 - 05/28/2021
WELLS FARGO CLEARING SERVICES, LLC (HOUSTON TX)
TX
10/04/2013 - 01/03/2017
J.P. MORGAN SECURITIES LLC (HUMBLE TX)
BOTH
Issued 04/10/2023
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/16/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/01/2017
Series 7 - General Securities Representative Examination
BC
Issued 10/04/2013
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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