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Michael Keelan Diana

Maxim Group LLC

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About Michael Keelan Diana

Michael Diana has been in the financial services industry since 1990 and is currently registered with Maxim Group LLC in New York, New York. Michael Diana is a Series 63, SIE, Series 16, Series 86, Series 87 and Series 7 licensed professional. Michael has also been previously registered with Cantor Fitzgerald & Co., Noble International Investments, Inc., Citigroup Global Markets Inc., and Bear, Stearns & Co. Inc.

Firm Information

Michael Diana is currently registered with Maxim Group LLC. Maxim Group LLC is a Limited Liability Company formed in April 2002 and is registered to conduct business in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has been approved for one SEC registration and 53 state registrations.

Not reported

Assets Under Management

Not reported

Total Clients

70

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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Michael Diana’s Registration & Firm History

NY

05/21/2012 - Present

Maxim Group LLC (NEW YORK NY)

NY

01/04/2010 - 12/06/2011

CANTOR FITZGERALD & CO. (NEW YORK NY)

NY

06/02/2008 - 12/22/2009

NOBLE INTERNATIONAL INVESTMENTS, INC. (NEW YORK NY)

NY

02/22/2001 - 01/24/2008

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

NY

05/22/2000 - 02/16/2001

BEAR, STEARNS & CO. INC. (NEW YORK NY)

NY

06/28/1994 - 05/05/2000

BEAR, STEARNS & CO. INC. (NEW YORK NY)

NY

10/25/1989 - 06/28/1994

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 12/26/1990

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/18/2017

Series 16 - NYSE Supervisory Analyst Examination

BC

Issued 08/31/2004

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 08/23/2004

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 10/21/1989

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE Arca, Inc.

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Michael Keelan Diana.
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