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Last Update

2011-02-18T00:00:00.000Z

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Background Information

Employment History

Associate Consultant
IBM Corporation

Associate Consultant
Financial Registrations , Inc.

Compliance and Operations Positions
BW & Associates Inc

Compliance and Operations Positions
Duerr Financial Corporation

Compliance and Operations Positions
Orange County's Credit Union

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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