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Fernando Diaz

Sami Brokerage LLC

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About Fernando Diaz

Fernando Diaz is a financial professional with over 30 years of experience in the industry. Fernando is currently registered with Sami Brokerage LLC in Stamford, CT. Previously, Fernando has held positions with SPEAR, LEEDS & KELLOGG, DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION and GOLDMAN, SACHS & CO. Fernando is licensed to sell securities in 12 states.

Firm Information

Fernando Diaz is currently registered with Sami Brokerage LLC. Sami Brokerage LLC is a Limited Liability Company formed in November 2018 and approved to operate in 18 states, including California, Connecticut, Delaware, Florida, Georgia, Illinois, Iowa, Kentucky, Minnesota, Mississippi, Nebraska, New York, Pennsylvania, Texas, Virginia, Wisconsin, and Wyoming. The firm is also registered with the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

18

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Fernando Diaz’s Registration & Firm History

CT

02/28/2000 - Present

Sami Brokerage LLC (STAMFORD CT)

NY

06/21/1999 - 02/25/2000

SPEAR, LEEDS & KELLOGG (NEW YORK NY)

NJ

04/11/1995 - 06/15/1999

DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)

NY

06/10/1993 - 02/02/1995

GOLDMAN, SACHS & CO. (NEW YORK NY)

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Licenses & Designations

BC

Issued 08/09/1993

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/29/2000

Series 3 - National Commodity Futures Examination

BC

Issued 07/26/1999

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 06/09/1993

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Fernando Diaz.
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