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This profile was last updated on 2/18/2011 and contains contributions from the  Zoominfo Community.

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Diana Figueroa

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I agree to the Terms of Service and Privacy Policy. I understand that I will receive a subscription to ZoomInfo Community Edition at no charge in exchange for downloading and installing the ZoomInfo Contact Contributor utility which, among other features, involves sharing my business contacts as well as headers and signature blocks from emails that I receive.

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


Web References(1 Total References)


www.financialregistrations.com

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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