Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Diego? Claim Your ProfileDiego Obando is an active Registered Investment Advisor (IA) and Broker-Dealer (BD) representative licensed in Florida and Texas. Diego is a highly experienced professional with over 10 years of experience in the financial services industry. Diego is currently employed at Morgan Stanley, a leading global financial services firm. Prior to joining Morgan Stanley, Diego was a Financial Advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated and AXA Advisors, LLC. Diego holds the Series 7, Series 63, and Series 65 licenses, as well as the Securities Industry Essentials (SIE) exam. Diego is also registered in 20 states. Diego is committed to providing clients with personalized financial advice and solutions that meet their individual needs.
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.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
FL
06/17/2022 - Present
Morgan Stanley (Miami FL)
FL
08/16/2013 - 06/22/2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (MIAMI FL)
NY
02/14/2013 - 08/23/2013
AXA ADVISORS, LLC (NEW YORK NY)
IA
Issued 10/11/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/22/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/13/2013
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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