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Arni Jay Diamond
Arni Jat Diamond
CRD#: 2667392
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Previous Investment Adviser
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Previous Broker
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
20042006200820102012201420162018202020222024IAEMPIRIKAL PARTNERS LLC (CRD# 282691)2022 - 2023 (1 year)IASUPREME ALLIANCE LLC (CRD# 45348)2021 - 2022 (<1 year)IADEMPSEY LORD SMITH, LLC (CRD# 141238)2018 - 2020 (2 years)IACATALYST WEALTH MANAGEMENT (CRD# 291138)2018 - 2018 (<1 year)IAKALOS MANAGEMENT (CRD# 133025)2013 - 2018 (4 years)IABERTHEL FISHER & COMPANY FINAN... (CRD# 13609)2008 - 2013 (5 years)IAFSC SECURITIES CORPORATION (CRD# 7461)2006 - 2008 (1 year)IAUSALLIANZ SECURITIES, INC. (CRD# 40875)2004 - 2006 (1 year)
Disclosure(s)
View By:
10/9/2023
Regulatory
Final
5/24/2023
Customer Dispute
Settled
5/8/2023
Customer Dispute
Settled
9/27/2022
Customer Dispute
Settled
9/27/2022
Customer Dispute
Settled
5/16/2022
Customer Dispute
Settled
9/14/2021
Customer Dispute
Settled
12/1/2020
Customer Dispute
Settled
10/15/2020
Employment Separation After Allegations
9/24/2020
Customer Dispute
Settled
7/6/2020
Customer Dispute
Settled
7/1/2020
Customer Dispute
Settled
6/23/2020
Customer Dispute
Settled
4/28/2020
Customer Dispute
Settled
4/22/2020
Customer Dispute
Settled
1/6/2020
Customer Dispute
Settled
5/26/2017
Customer Dispute
Settled
7/25/2016
Customer Dispute
Closed-No Action
5/5/2009
Customer Dispute
Denied
Previous Registration(s)
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03/09/2022 - 05/09/2023 EMPIRIKAL PARTNERS LLC (CRD#:282691) JACKSONVILLE, FL
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10/26/2021 - 01/06/2022 SUPREME ALLIANCE LLC (CRD#:45348) ST. AUGUSTINE, FL
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09/17/2018 - 10/15/2020 DEMPSEY LORD SMITH, LLC (CRD#:141238) Jacksonville, FL
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05/04/2018 - 09/19/2018 CATALYST WEALTH MANAGEMENT (CRD#:291138) Jacksonville, FL
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08/19/2013 - 07/11/2018 KALOS MANAGEMENT (CRD#:133025) JACKSONVILLE, FL
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03/28/2008 - 07/29/2013 BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC. (CRD#:13609) JACKSONVILLE, FL
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04/12/2006 - 03/28/2008 FSC SECURITIES CORPORATION (CRD#:7461) JACKSONVILLE, FL
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05/18/2004 - 04/24/2006 USALLIANZ SECURITIES, INC. (CRD#:40875) JACKSONVILLE, FL
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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.