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Detailed Report
DIANA LISBETH VASQUEZ
DIANA VASQUEZ
CRD#: 5387528
IA
Investment Adviser
B
Broker
FIDELITY PERSONAL AND WORKPLACE ADVISORSCRD#: 288590 12201 SEAL BEACH BLVD
SEAL BEACH, CA 90740-2634
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 12201 SEAL BEACH BLVD
SEAL BEACH, CA 90740-2634
Registration History
201620172018201920202021202220232024202520262 FIRMS2016 - 2018 (1 year)2 FIRMS2019 - Present (5 years)
License(s)

State Registrations

B
Arizona 1/12/2021
B
Nevada 1/12/2021
B
California 11/21/2019
B
Pennsylvania 9/29/2023
IA
California 12/16/2019
B
Texas 1/12/2021
B
Colorado 1/12/2021
IA
Texas 3/16/2021
B
Idaho 4/14/2023
B
Utah 1/12/2021
B
Illinois 1/12/2021
B
Washington 10/20/2023
B
Kansas 7/7/2023
B
Wisconsin 3/2/2024

SRO Registrations

B
 FINRA
B
 New York Stock Exchange

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
FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590)
12201 SEAL BEACH BLVD, SEAL BEACH, CA 90740-2634
Registered with this firm since 12/16/2019
B
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
12201 SEAL BEACH BLVD, SEAL BEACH, CA 90740-2634
LAKEWOOD, CA
Registered with this firm since 11/21/2019
Previous Registration(s)
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IA
 06/06/2016 - 01/03/2018 CHARLES SCHWAB & CO., INC. (CRD#:5393) TORRANCE, CA
B
 02/17/2016 - 01/03/2018 CHARLES SCHWAB & CO., INC. (CRD#:5393) TORRANCE, 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.