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Diana Ren

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Providence, RI

Boston, MA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2026-03-02
  • CT RA
    APPROVED
    Since 2026-03-02

Branch Locations

1 Financial Plz, Providence, RI 02903 • United States

100 Federal St, Boston, MA 02110 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Jpmorgan Chase Bank Na Seattle WA 06/2018 03/2020
Jpmorgan Securities Llc Seattle WA 06/2018 03/2020
Unemployed Seattle WA 02/2018 06/2018
Performance Equity Management Greenwich CT 07/2017 02/2018
Hq Capital New York NY 06/2014 11/2016
Unemployed New York NY 11/2016 07/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated Seattle WA 03/2020 Present
Bank Of America, N.A. Seattle WA 03/2020 Present
  • 06/2018 → 03/2020
    Jpmorgan Chase Bank Na
    Seattle, WA
  • 06/2018 → 03/2020
    Jpmorgan Securities Llc
    Seattle, WA
  • 02/2018 → 06/2018
    Unemployed
    Seattle, WA
  • 07/2017 → 02/2018
    Performance Equity Management
    Greenwich, CT
  • 06/2014 → 11/2016
    Hq Capital
    New York, NY
  • 11/2016 → 07/2017
    Unemployed
    New York, NY
  • 03/2020 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Seattle, WA
  • 03/2020 → Present
    Bank Of America, N.A.
    Seattle, WA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-08-15
S63 Uniform Securities Agent State Law Examination 2018-12-23
  • S66 Uniform Combined State Law Examination
    2020-08-15
  • S63 Uniform Securities Agent State Law Examination
    2018-12-23
Other Names
  • Diana Nicole Ren
  • Diana N Ren

View on SEC IAPD

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JOHN HENRY MULLEN
ANDREW E. SNAPE
GREGORY JOSEPH LAVINE
JOHN BOND TREVOR
JOAN MARIE CAINE
CHARLES BATEMAN PARSONS
EDWIN G FISCHER
STACEY LEA STERNBERG

Other Offices

PARSONS CAPITAL MANAGEMENT INC · PROVIDENCE, RI
PARSONS CAPITAL MANAGEMENT INC · PROVIDENCE, RI
ERNST & YOUNG INVESTMENT ADVISERS LLP · PROVIDENCE, RI
BLUE FIN CAPITAL, INC. · PROVIDENCE, RI
WASHINGTON TRUST ADVISORS · Providence, RI
WASHINGTON TRUST ADVISORS · Providence, RI
STIFEL, NICOLAUS & COMPANY, INCORPORATED · PROVIDENCE, RI
BARRETT & COMPANY · PROVIDENCE, RI

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