Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tony? Claim Your ProfileTony Orlando Diaz is a financial advisor with The Leaders Group, Inc. located in LITTLETON, CO. Tony has been in the financial services industry since 2018 and holds several licenses and certifications, including Series 6, 7, 99, and 63. Tony has experience working with a variety of clients and has a strong understanding of the financial markets.
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.
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.
1
2
CO
07/27/2023 - Present
THE Leaders Group, Inc. (LITTLETON CO)
TX
03/30/2020 - 07/30/2021
APEX CLEARING CORPORATION (DALLAS TX)
TX
03/04/2019 - 07/30/2021
ELECTRONIC TRANSACTION CLEARING, INC. (DALLAS TX)
CA
08/03/2018 - 02/01/2019
WELLS FARGO CLEARING SERVICES, LLC (MARINA DEL REY CA)
BC
Issued 08/15/2018
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/27/2021
Series 7TO - General Securities Representative Examination
BC
Issued 06/08/2019
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/03/2018
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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