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Information

Firm:
Additional Firm:
Type: Dual Registration
Description

Diego Canalda is a financial professional at Barclays Capital Inc., a broker-dealer with over 4,350 registered representatives nationwide. Diego is also registered with Deutsche Bank Securities Inc., a broker-dealer with over 3,550 registered representatives nationwide. Diego has held an industry securities registration for 15 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Diego Canalda has not answered any questions on Financial Q&A.

Top Guides

Diego Canalda has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

High Net Worth Individuals
Corporations or Other Businesses
Individuals
State or Municipal Government Entities
Other
Other Pooled Investment Vehicles
Charitable Organizations
Pension and Profit Sharing Plans
Banking or Thrift Institutions
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
Deutsche Bank Securities Inc 3 months, 2 weeks Jan 2014 - Present
Barclays Capital Inc. 5 years, 4 months Sep 2008 - Jan 2014
Lehman Brothers Inc. 9 years, 5 months Apr 1999 - Sep 2008
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 04/01/2013, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
04/01/2013
08/07/2013
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
Uniform Combined State Law Examination Series 66 04/30/2008
National Commodity Futures Examination Series 3 01/28/2002
Uniform Securities Agent State Law Examination Series 63 08/11/1999
General Securities Representative Examination Series 7 11/24/1998

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Fixed Fees
  • Commissions