Diana Figueroa is an Associate Consultant with Financial Registrations, Inc.
has over 5 years of compliance, auditing and registration experience.
provides consulting services in the area of registration and compliance for FINRA broker/dealers and investment advisory firms.
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.
currently maintains the FINRA Series 7 and NASAA Series 63 licenses, and the California Health and Life license.