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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 2023-02-06
  • TX RA
    APPROVED
    Since 2023-02-06

Branch Locations

2808 W Trenton Rd, Edinburg, TX 78539 • United States

1000 Louisiana St 7Th Fl [Tn/Td-Rbo], Houston, TX 77002 • 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
University Of Incarnate Word San Antonio TX 08/2014 05/2018
Nylife Securities Llc San Antonio TX 01/2019 06/2019
Bbva Securities Inc. San Antonio TX 06/2019 07/2020
Bbva Usa Birmingham AL 06/2019 07/2020
Bbva Compass Insurance Agency, Inc. Austin TX 06/2019 07/2020
New York Life Insurance Company San Antonio TX 11/2018 06/2019
International Bank Of Commerce San Antonio TX 08/2018 11/2018
Ancira Chrysler Jeep Dodge Ram San Antonio TX 06/2018 08/2018
New York Life Insurance Company San Antonio TX 11/2018 06/2019
Unemployed San Antonio TX 08/2016 01/2017
Friendly Care Primary Services Laredo TX 06/2020 Present
Nylife Securities Llc San Antonio TX 03/2021 04/2022
New York Life Insurance Co San Antonio TX 08/2020 04/2022
Wells Fargo Clearing Services, Llc Edinburg TX 01/2023 Present
Wells Fargo Bank, Na Edinburg TX 01/2023 Present
  • 08/2014 → 05/2018
    University Of Incarnate Word
    San Antonio, TX
  • 01/2019 → 06/2019
    Nylife Securities Llc
    San Antonio, TX
  • 06/2019 → 07/2020
    Bbva Securities Inc.
    San Antonio, TX
  • 06/2019 → 07/2020
    Bbva Usa
    Birmingham, AL
  • 06/2019 → 07/2020
    Bbva Compass Insurance Agency, Inc.
    Austin, TX
  • 11/2018 → 06/2019
    New York Life Insurance Company
    San Antonio, TX
  • 08/2018 → 11/2018
    International Bank Of Commerce
    San Antonio, TX
  • 06/2018 → 08/2018
    Ancira Chrysler Jeep Dodge Ram
    San Antonio, TX
  • 11/2018 → 06/2019
    New York Life Insurance Company
    San Antonio, TX
  • 08/2016 → 01/2017
    Unemployed
    San Antonio, TX
  • 06/2020 → Present
    Friendly Care Primary Services
    Laredo, TX
  • 03/2021 → 04/2022
    Nylife Securities Llc
    San Antonio, TX
  • 08/2020 → 04/2022
    New York Life Insurance Co
    San Antonio, TX
  • 01/2023 → Present
    Edinburg, TX
  • 01/2023 → Present
    Wells Fargo Bank, Na
    Edinburg, TX
Other Businesses

LIZ GROUP, LLC; NOT INV. RELATED; MCALLEN,TX; 50% OWNERSHIP; START DATE 01/01/2022; NUMBER OF HOURS PER MONTH 1; NUMBER OF HOURS DURING TRADING 0; COMMERCIAL RENTAL REAL ESTATE. FRIENDLY CARE PRIMARY SERVICES; NOT INV. RELATED; LAREDO,TX; BILLING CLERK; START DATE 06/01/2020; NUMBER OF HOURS PER MONTH 120; NUMBER OF HOURS DURING TRADING 0; BILLING SERVICES. RENTAL PROPERTY; INV. RELATED; MCALLEN,TX; 50% OWNERSHIP; START DATE 01/01/2022; NUMBER OF HOURS PER MONTH 10; NUMBER OF HOURS DURING TRADING 0; CO-OWNER. DM LEGACY, LLC, INVT RELATED, EDINBURG, TX, 100% OWNERSHIP, START DATE 5/26/2023, 10 HRS PER MONTH, 0 HRS DURING TRADING, INVESTING IN REAL ESTATE.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-02-06
S63 Uniform Securities Agent State Law Examination 2019-03-31
  • S65 Uniform Investment Adviser Law Examination
    2023-02-06
  • S63 Uniform Securities Agent State Law Examination
    2019-03-31
Other Names
  • Diego G Moreno
  • Diego Moreno
  • Diego Guadalupe Moreno

View on SEC IAPD

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