Individual Firm
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GREGG AUSTIN DIAMOND
CRD#: 3000428
IA
B
LPL FINANCIAL LLCCRD#: 6413 9045 CORBIN AVE. UNIT 305
NORTHRIDGE, CA 91324
NORTHRIDGE, CA 91324
View By:
3/16/2009
Customer Dispute
Denied
State Registrations
B
Alabama 8/14/2014
B
Maine 2/7/2023
B
Arizona 11/28/2008
B
Nevada 11/28/2008
B
California 11/28/2008
B
Pennsylvania 5/7/2021
IA
California 12/1/2008
B
South Carolina 1/11/2024
B
Florida 9/22/2009
IA
Texas 8/7/2017
B
Iowa 1/21/2021
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 12/1/2008
B
Registered with this firm since 11/28/2008
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/15/2006 - 12/04/2008 | GRANADA HILLS, CA | |
B | 01/01/1999 - 12/04/2008 | GRANADA HILLS, CA | |
B | 02/06/1998 - 01/01/1999 |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.