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Current Employers
Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2025-05-10
NY RA APPROVED 2025-02-12
  • TX RA
    APPROVED_RES
    Since 2025-05-10
  • NY RA
    APPROVED
    Since 2025-02-12

Branch Locations

145 Fulton Ave, Hempstead, NY 11550 • United States

68 S Service Rd Ste 200 [Yi-Rbo], Melville, NY 11747 • United States

1020 Port Washington Blvd, Port Washington, NY 11050 • United States

137 Jackson Ave, Syosset, NY 11791 • 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
Citibank Na Port Washington NY 02/2013 02/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated Smithtown NY 01/2022 02/2025
Citibank Na Port Washington NY 02/2017 07/2021
Citibank Na Great Neck NY 07/2021 01/2022
Bank Of America, N.A. Smithtown NY 02/2022 02/2025
Wells Fargo Clearing Services, Llc New York NY 02/2025 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-07-03
S63 Uniform Securities Agent State Law Examination 2017-02-13
  • S65 Uniform Investment Adviser Law Examination
    2021-07-03
  • S63 Uniform Securities Agent State Law Examination
    2017-02-13
Other Names
  • Tiffany Diaz
  • Tiffany S Diaz

View on SEC IAPD

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