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Diana Santana

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Westlake Village, CA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2009-01-16
CA RA APPROVED 2005-02-11
  • TX RA
    APPROVED_RES
    Since 2009-01-16
  • CA RA
    APPROVED
    Since 2005-02-11

Branch Locations

2815 Townsgate Rd, Westlake Village, CA 91361 • 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 Woodland Hills CA 02/2005 Present
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1993-12-23
  • S63 Uniform Securities Agent State Law Examination
    1993-12-23
Other Names
  • Diana Caban

View on SEC IAPD

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Other Offices

MANCHESTER FINANCIAL INC · WESTLAKE VILLAGE, CA
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RKS MANAGEMENT, INC. · WESTLAKE VILLAGE, CA
MERCER GLOBAL ADVISORS INC. · Westlake Village, CA
LPL FINANCIAL LLC · WESTLAKE VILLAGE, CA
MML INVESTORS SERVICES, LLC · WESTLAKE VILLAGE, CA
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