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Diana Fernandez

Firm:
Morgan Stanley Smith Barney LLC
Type: Registered Representative
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Description

Diana Fernandez a financial professional at Morgan Stanley Smith Barney LLC, a broker-dealer with over 24,100 registered representatives nationwide. Diana has held an industry securities registration for 13 years and is subject to FINRA oversight.

BrightScope Advisor Metrics

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Answers and Guides

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0 Answers and 0 Financial Guides

Top Answers

Diana Fernandez has not answered any questions on Financial Q&A.

Top Guides

Diana Fernandez has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Firm Client Types

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ownership pie chart
Individuals
High Net Worth Individuals
Other Investment Advisors
State or Municipal Government Entities
Other Pooled Investment Vehicles
Charitable Organizations
Corporations or Other Businesses
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

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Employer Years Dates
Morgan Stanley Smith Barney LLC 3 years, 11 months Jun 2009 - Present
Citigroup Global Markets Inc. 7 years, 9 months Aug 2005 - Present
Credit Suisse First Boston LLC 1 year Jun 2004 - Jun 2005
Goldman, Sachs & Co. 2 years, 2 months Apr 2002 - Jun 2004
Donaldson, Lufkin & Jenrette Securities Corporation 4 years, 2 months Feb 1998 - Apr 2002
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of , 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

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Regulator
FINRA
License Status
Registered
Disclosures

No Disclosures Found
As of Date
01/26/2012
*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

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Exam Series Passed Date
Uniform Securities Agent State Law Examination Series 63 12/21/1998
General Securities Representative Examination Series 7 10/21/1998

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Fixed Fees
  • Commissions
  • Other: SEE SCHEDULE D MISCELLANEOUS