Best Investors Account Sign in

Diana P Matthews

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Garden City, NY

Melville, NY

Port Washington, NY

Claim This Profile
Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-19
TX RA APPROVED 2013-10-16
CT RA APPROVED 2012-02-28
  • NY RA
    APPROVED
    Since 2021-04-19
  • TX RA
    APPROVED
    Since 2013-10-16
  • CT RA
    APPROVED
    Since 2012-02-28

Branch Locations

1325 Franklin Ave, Garden City, NY 11530 • United States

300 Broadhollow Rd, Melville, NY 11747 • United States

Port Washington, NY • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Garden City NY 09/2009 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-02-26
S63 Uniform Securities Agent State Law Examination 1981-06-03
  • S66 Uniform Combined State Law Examination
    2012-02-26
  • S63 Uniform Securities Agent State Law Examination
    1981-06-03
Other Names
  • Diana Patrice Matthews

View on SEC IAPD

Other Firms

ARKADIOS WEALTH ADVISORS
CETERA INVESTMENT ADVISERS LLC
BRIXTON CAPITAL WEALTH ADVISORS, LLC
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
OSAIC WEALTH, INC.
COMMONWEALTH FINANCIAL NETWORK
LESLIE MARIE GIORDANO
ARIES INVESTMENT ADVISORS, LLC

Other Investors

TIMOTHY J TASSO
DAWN MARIE EGGERS
DAVID BRIAN CARPENTIER
Alexander Oliner
JULIA BATTAGLIA
Sei il im
ELLEN M CHAN
Jesse M Silver

Other Offices

ARKADIOS WEALTH ADVISORS · Garden City, NY
CETERA INVESTMENT ADVISERS LLC · Garden City, NY
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · GARDEN CITY, NY
CETERA INVESTMENT ADVISERS LLC · GARDEN CITY, NY
BRIXTON CAPITAL WEALTH ADVISORS, LLC · GARDEN CITY, NY
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · Garden City, NY
OSAIC WEALTH, INC. · GARDEN CITY, NY
COMMONWEALTH FINANCIAL NETWORK · Garden City, NY

More in Garden City, NY

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor