Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Diego? Claim Your ProfileDiego Urrutia is an investment advisor representative associated with Merrill Lynch, Pierce, Fenner & Smith Inc., and has been working in the industry since July 2007. Diego Urrutia has been with Merrill Lynch, Pierce, Fenner & Smith Inc. since May 2021. Diego Urrutia was previously registered with J.P. MORGAN SECURITIES LLC and INSIGHT SECURITIES, INC.. Diego Urrutia holds Series 66, Series 63, Series 10, Series 9, Series 24, SIE, Series 7 licenses. Diego Urrutia provides investment advice and portfolio management services to individuals, businesses, and institutions. Diego Urrutia is a member of Financial Industry Regulatory Authority (FINRA) and the Securities Investor Protection Corporation (SIPC).
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
FL
02/17/2022 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PALM BEACH FL)
FL
06/08/2018 - 04/12/2021
J.P. MORGAN SECURITIES LLC (Palm Beach FL)
NY
06/25/2014 - 08/10/2015
INSIGHT SECURITIES, INC. (New York NY)
NY
06/21/2010 - 05/19/2014
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
NY
05/01/2006 - 05/26/2010
BNP PARIBAS SECURITIES CORP. (NEW YORK NY)
NY
10/20/2004 - 05/02/2006
UBS INTERNATIONAL INC. (NEW YORK NY)
NY
04/19/2004 - 08/04/2004
UBS INTERNATIONAL INC. (NEW YORK NY)
BOTH
Issued 04/28/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/19/2018
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/18/2024
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/10/2024
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/18/2011
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/08/2018
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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