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Detailed Report
DIEGO ADRIAN CONEJO
DIEGO ADRIAN CANEJO, DIEGO A CONEJO, DIEGO CONEJO
CRD#: 5130746
IA
Investment Adviser
B
Broker
TRANSAMERICA FINANCIAL ADVISORS, LLCCRD#: 16164 680 E Colorado Blvd
STE 2100
Pasadena, CA 91101
Registration History
200620082010201220142016201820202022202420262 FIRMS2006 - 2007 (1 year)2 FIRMS2008 - 2010 (1 year)4 FIRMS2010 - 2010 (<1 year)2 FIRMS2017 - 2019 (2 years)2 FIRMS2019 - Present (5 years)BWELLS FARGO ADVISORS, LLC (CRD# 19616)2015 - 2016 (<1 year)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2015 - 2015 (<1 year)BWELLS FARGO ADVISORS, LLC (CRD# 19616)2014 - 2015 (<1 year)
License(s)

State Registrations

B
Arizona 7/29/2021
B
Nevada 1/24/2022
B
California 5/28/2019
B
New Hampshire 10/25/2021
IA
California 5/28/2019
B
New Jersey 6/10/2020
B
Connecticut 9/8/2023
IA
New Jersey 6/11/2020
B
Illinois 1/19/2023
B
New Mexico 2/7/2023
B
Kansas 8/8/2019
B
New York 8/23/2022
B
Maine 10/26/2021
B
Ohio 5/28/2019
B
Maryland 7/15/2024
B
Texas 12/7/2020
B
Michigan 12/13/2023
IA
Texas 12/8/2020
B
Missouri 5/28/2019
B
Utah 8/23/2022

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
TRANSAMERICA FINANCIAL ADVISORS, LLC (CRD#:16164)
680 E Colorado Blvd STE 2100, Pasadena, CA 91101
Registered with this firm since 5/28/2019
B
TRANSAMERICA FINANCIAL ADVISORS, LLC (CRD#:16164)
680 E Colorado Blvd STE 2100, Pasadena, CA 91101
Registered with this firm since 5/28/2019
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/14/2017 - 05/14/2019 PRIMERICA ADVISORS (CRD#:10111) LOS ANGELES, CA
B
 04/06/2017 - 05/14/2019 PFS INVESTMENTS INC. (CRD#:10111) LOS ANGELES, CA
B
 05/04/2015 - 03/15/2016 WELLS FARGO ADVISORS, LLC (CRD#:19616) MARINA DEL REY, CA
B
 02/03/2015 - 04/20/2015 J.P. MORGAN SECURITIES LLC (CRD#:79) MANHATTAN BEACH, CA
B
 04/04/2014 - 01/02/2015 WELLS FARGO ADVISORS, LLC (CRD#:19616) MARINA DEL REY, CA
IA
 10/04/2010 - 11/29/2010 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) SAN MARINO, CA
B
 10/04/2010 - 11/29/2010 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) SAN MARINO, CA
IA
 04/27/2010 - 07/29/2010 WELLS FARGO ADVISORS, LLC (CRD#:19616) PACIFIC PALISADES, CA
B
 04/23/2010 - 07/29/2010 WELLS FARGO ADVISORS, LLC (CRD#:19616) PACIFIC PALISADES, CA
IA
 07/14/2008 - 04/26/2010 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) PACIFIC PALISADES, CA
B
 07/14/2008 - 04/26/2010 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) PACIFIC PALISADES, CA
IA
 09/08/2006 - 10/19/2007 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) CITY OF COMMERCE, CA
B
 08/28/2006 - 10/19/2007 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) CITY OF COMMERCE, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.