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This profile was last updated on 2/18/11  and contains information from public web pages and contributions from the ZoomInfo community.

Ms. Diana Figueroa

Wrong Diana Figueroa?

Associate Consultant

Phone: (914) ***-****  HQ Phone
Email: d***@***.com
IBM Corporation
1 New Orchard Road
Armonk, New York 10504
United States

Company Description: International Business Machines Corporation (IBM), is an information technology (IT) company. s major operations include Global Technology Services segment (GTS),...   more
Background

Employment History

Education

  • B.A. degree
    University of California Irvine
Web References
Diana ...
www.financialregistrations.com, 18 Feb 2011 [cached]
Diana Figueroa Associate Consultant
...
DIANA FIGUEROA
ASSOCIATE CONSULTANT
dfigueroa@financialreg.com
Diana Figueroa is an Associate Consultant with Financial Registrations, Inc. Ms. Figueroa has over 5 years of compliance, auditing and registration experience. She provides consulting services in the area of registration and compliance for FINRA broker/dealers and investment advisory firms. She has specific knowledge in broker/dealer and investment adviser registration process, home and branch office reviews, anti-money laundering (AML) inspections, compliance and supervisory procedures, and general back-office consulting. Prior to joining Financial Registrations, Ms. Figueroa held compliance and operations positions with BW and Associates, Orange County's Credit Union, and Duerr Financial Corporation.
Ms. Figueroa received her B.A. degree from the University of California Irvine. She currently maintains the FINRA Series 7 and NASAA Series 63 licenses, and the California Health and Life license.
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