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JAMES WOOD DIAMOND
CRD#: 1319295
IA
Investment Adviser
B
Broker
COMMONWEALTH FINANCIAL NETWORKCRD#: 8032 600 PUTNAM PIKE
SUITE 4
GREENVILLE, RI 02828
Registration History
1985199019952000200520102015202020252 FIRMS2007 - Present (17 years)B1717 CAPITAL MANAGEMENT COMPANY (CRD# 4082)1990 - 2007 (16 years)BMONARCH SECURITIES, INC. (CRD# 2809)1984 - 1990 (6 years)IA1717 CAPITAL MANAGEMENT COMPANY (CRD# 4082)2000 - 2007 (7 years)
Disclosure(s)
View By:
11/8/2020
Customer Dispute
Denied
License(s)

State Registrations

B
Delaware 10/2/2007

IA
New Hampshire 4/28/2010

B
Massachusetts 10/2/2007

B
Rhode Island 10/2/2007

IA
Massachusetts 10/26/2018

IA
Rhode Island 10/2/2007

B
Missouri 8/19/2015

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
COMMONWEALTH FINANCIAL NETWORK (CRD#:8032)
600 PUTNAM PIKE SUITE 4, GREENVILLE, RI 02828
Portsmouth, NH
Registered with this firm since 10/2/2007

B
COMMONWEALTH FINANCIAL NETWORK (CRD#:8032)
600 PUTNAM PIKE SUITE 4, GREENVILLE, RI 02828
Portsmouth, NH
Registered with this firm since 10/2/2007

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
03/28/2000 - 10/08/2007 1717 CAPITAL MANAGEMENT COMPANY (CRD#:4082) WARWICK, RI
B
12/06/1990 - 10/08/2007 1717 CAPITAL MANAGEMENT COMPANY (CRD#:4082) WARWICK, RI
B
12/04/1984 - 12/04/1990 MONARCH SECURITIES, INC. (CRD#:2809)
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.