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Robert Francis Diana

Charles Schwab & Co., Inc.

New York City, NY

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Current Employers
Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2022-11-10
  • NY RA
    APPROVED
    Since 2022-11-10

Branch Locations

915 Broadway Ground Floor, New York City, NY 10010 • 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
The Vanguard Group, Inc. Malvern PA 07/2017 12/2018
Ray Diana Painting Manchester CT 05/2011 09/2016
Trinity College Hartford CT 09/2013 05/2017
Ubs Financial Services.iNc Weehawken NJ 01/2019 11/2022
Charles Schwab & Co., Inc. New York NY 11/2022 Present
Charles Schwab Bank, Ssb New York NY 11/2022 Present
  • 07/2017 → 12/2018
    The Vanguard Group, Inc.
    Malvern, PA
  • 05/2011 → 09/2016
    Ray Diana Painting
    Manchester, CT
  • 09/2013 → 05/2017
    Trinity College
    Hartford, CT
  • 01/2019 → 11/2022
    Ubs Financial Services.iNc
    Weehawken, NJ
  • 11/2022 → Present
    Charles Schwab & Co., Inc.
    New York, NY
  • 11/2022 → Present
    Charles Schwab Bank, Ssb
    New York, NY
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-02-26
S63 Uniform Securities Agent State Law Examination 2017-09-20
  • S65 Uniform Investment Adviser Law Examination
    2019-02-26
  • S63 Uniform Securities Agent State Law Examination
    2017-09-20
Other Names
  • Robert Francis Diana
  • Robert Diana
  • Rob Diana

View on SEC IAPD

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