Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sergio? Claim Your ProfileSergio Omar Russell-diaz is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Inc.. Sergio has been in the financial services industry since 2004. Sergio has passed Series 7, Series 24, Series 63, and Series 66 exams, and has specialized in various areas including fixed income, equities, options, and mutual funds. Sergio has worked at previous firms including Northwestern Mutual Investment Services, LLC, Ameriprise Financial Services, Inc., Neuberger Berman BD LLC, Park Avenue Securities LLC, E*TRADE SECURITIES LLC, Computershare Securities Corporation, and Fordham Financial Management, Inc. Sergio's registration is currently active in 37 states and 2 jurisdictions. Sergio has experience with a wide range of client types, including individuals, corporations, high net worth individuals, charitable organizations, and insurance companies.
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
NY
10/27/2022 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (MELVILLE NY)
NY
07/23/2021 - 07/08/2022
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (NEW YORK NY)
NJ
04/03/2018 - 12/11/2019
AMERIPRISE FINANCIAL SERVICES, INC. (SADDLE BROOK NJ)
NY
11/22/2016 - 02/06/2018
NEUBERGER BERMAN BD LLC (NEW YORK NY)
NY
08/25/2008 - 11/21/2016
PARK AVENUE SECURITIES LLC (NEW YORK NY)
NJ
03/05/2007 - 04/28/2008
E*TRADE SECURITIES LLC (JERSEY CITY NJ)
IL
06/30/2005 - 02/09/2007
COMPUTERSHARE SECURITIES CORPORATION (CHICAGO IL)
NY
09/22/2004 - 04/18/2005
FORDHAM FINANCIAL MANAGEMENT, INC. (NEW YORK NY)
BOTH
Issued 04/03/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/01/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/25/2011
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/21/2004
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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