Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Diony? Claim Your ProfileDiony Barbaro Concepcion is a registered investment advisor representative with Cambridge Investment Research Advisors, Inc., located in Norwalk, CT. Diony has been in the financial services industry since 2002. Diony has experience with Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley, Ameriprise Financial Services, Inc., Phoenix Equity Planning Corporation, and Samuel A Ramirez & Co., Inc. Diony holds the Series 6, 7, 63, 65, and 66 securities licenses.
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.
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.
Solicitation fees from 3rd party money managers
1
2
CT
05/16/2019 - Present
Cambridge Investment Research Advisors, Inc. (Norwalk CT)
FL
09/29/2014 - 05/31/2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CORAL GABLES FL)
FL
07/10/2012 - 10/16/2014
MORGAN STANLEY (FT. MYERS FL)
CT
03/03/2008 - 03/14/2008
AMERIPRISE FINANCIAL SERVICES, INC. (EAST HARTFORD CT)
CT
08/13/2007 - 02/11/2008
PHOENIX EQUITY PLANNING CORPORATION (HARTFORD CT)
CT
05/24/2005 - 06/04/2007
SAMUEL A RAMIREZ & CO., INC. (HARTFORD CT)
NY
11/18/1999 - 05/17/2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
06/19/1996 - 05/20/1999
NYLIFE SECURITIES INC. (NEW YORK NY)
NJ
10/30/1995 - 05/14/1996
FIRST INVESTORS CORPORATION (EDISON NJ)
BOTH
Issued 09/10/2012
Series 66 - Uniform Combined State Law Examination
IA
Issued 02/01/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/01/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/31/2017
SIE - Securities Industry Essentials Examination
BC
Issued 07/09/2012
Series 7 - General Securities Representative Examination
BC
Issued 10/26/1995
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
Not sure Diony Concepcion is the right advisor for you? Invested Better is here to help.
