Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Anthony Diaferio is a financial professional with over 23 years of experience in the industry. James is currently registered with W&S Brokerage Services, Inc. in Texas and has previously held positions at several other firms, including Principal Securities, Inc., Allstate Financial Services, LLC, and BBVA Compass Investment Solutions, Inc. James holds a variety of licenses, including Series 6, 7, 31, 63, and 65. James specializes in providing portfolio management for individuals and selection of other advisors.
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.
Helps you choose top advisors aligned with your financial goals.
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.
A percentage of the total value of assets under management is charged.
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2
TX
03/16/2023 - Present
W&S Brokerage Services, Inc. (Westlake TX)
TX
10/06/2021 - 01/18/2023
PRINCIPAL SECURITIES, INC. (ADDISON TX)
TX
10/21/2019 - 09/28/2021
ALLSTATE FINANCIAL SERVICES, LLC (FORTH WORTH TX)
FL
07/26/2017 - 04/10/2018
ALLSTATE FINANCIAL SERVICES, LLC (THE VILLAGES FL)
TX
06/28/2010 - 05/04/2011
BBVA COMPASS INVESTMENT SOLUTIONS, INC (PLANO TX)
TX
04/27/2007 - 03/05/2010
AXA ADVISORS, LLC (BOWIE TX)
FL
10/31/2005 - 04/17/2007
AIG FINANCIAL ADVISORS, INC. (CORAL SPRINGS FL)
AZ
04/05/2001 - 10/31/2005
SENTRA SECURITIES CORPORATION (PHOENIX AZ)
NJ
05/08/2000 - 04/10/2001
RYAN, BECK & CO., LLC. (FLORHAM PARK NJ)
MA
12/13/1999 - 04/20/2000
ALLMERICA INVESTMENTS, INC. (WORCESTER MA)
TN
03/08/1999 - 12/07/1999
PFIC SECURITIES CORPORATION (FRANKLIN TN)
TX
10/01/1998 - 03/19/1999
FISERV INVESTOR SERVICES, INC. (HOUSTON TX)
MN
11/20/1997 - 10/02/1998
COMPULIFE INVESTOR SERVICES, INC. (ST. CLOUD MN)
FL
08/08/1997 - 11/07/1997
BARNETT INVESTMENTS, INC. (JACKSONVILLE FL)
NY
09/26/1995 - 11/12/1996
FLEET ENTERPRISES, INC. (NEW YORK NY)
NY
10/23/1993 - 08/31/1995
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
MA
10/06/1992 - 04/28/1993
METLIFE SECURITIES INC. (SPRINGFIELD MA)
NY
10/06/1992 - 04/28/1993
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
NJ
12/04/1989 - 09/15/1992
PRUCO SECURITIES CORPORATION (NEWARK NJ)
NJ
12/04/1989 - 09/15/1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (NEWARK NJ)
BC
Issued 12/02/2019
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 02/17/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/10/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/26/2017
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 12/29/1993
Series 31 - Futures Managed Funds Examination
BC
Issued 11/23/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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