Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Diego? Claim Your ProfileDiego Sarmiento is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. in Atlanta, Georgia. Diego has been in the financial services industry since 2007 and has a wide range of experience in providing financial advice to individuals, families, and businesses. Diego is also a Registered Representative with the Financial Industry Regulatory Authority (FINRA) and is licensed in several states. Diego is committed to providing his clients with personalized financial advice and guidance.
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
GA
07/28/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (ATLANTA GA)
GA
12/17/2013 - 11/23/2015
LINCOLN FINANCIAL ADVISORS CORPORATION (ATLANTA GA)
PA
06/19/2012 - 10/31/2013
DELAWARE DISTRIBUTORS, L.P. (PHILADELPHIA PA)
NJ
08/12/2009 - 06/15/2012
METLIFE SECURITIES INC. (SOMERSET NJ)
NJ
08/12/2009 - 06/15/2012
NEW ENGLAND SECURITIES (SOMERSET NJ)
NJ
08/12/2009 - 06/15/2012
TOWER SQUARE SECURITIES, INC. (SOMERSET NJ)
NJ
08/12/2009 - 06/15/2012
WALNUT STREET SECURITIES, INC. (SOMERSET NJ)
NJ
03/20/2009 - 07/08/2009
WELLS FARGO ADVISORS, LLC (EDISON NJ)
NJ
08/02/2007 - 03/16/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PENNINGTON NJ)
IA
Issued 12/11/2012
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 08/28/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/29/2021
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/23/2020
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/01/2007
Series 7 - General Securities 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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