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MIGUEL ANTONIO DIAZ SERRANO
MIGUEL ANTONIO DIAZ-SERRANO, MIGUEL ANTONIO DIAZSERRANO
CRD#: 4782490
IA
B
PRIMERICA ADVISORSCRD#: 10111 VENUS GARDENS PLAZA
19 ACUARIO STREET SUITE 7B
SAN JUAN, PR 00926
19 ACUARIO STREET SUITE 7B
SAN JUAN, PR 00926
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5/15/2007
Criminal
Final Disposition
State Registrations
B
California 5/27/2021
B
New Jersey 11/14/2023
B
Colorado 7/26/2022
B
North Carolina 10/18/2023
B
Florida 9/14/2016
B
Puerto Rico 2/10/2011
B
Georgia 8/4/2023
IA
Puerto Rico 1/10/2024
B
Indiana 8/4/2022
B
Texas 6/2/2021
SRO Registrations
B
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IA
Registered with this firm since 1/10/2024
B
Registered with this firm since 12/22/2010
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 03/17/2006 - 05/10/2006 | DULUTH, GA | |
B | 04/13/2005 - 02/08/2006 | DULUTH, GA |
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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.