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Read MoreDiego Canalda: Raymond James Denies $203K Complaint
Miami financial advisor Diego Canalda (CRD# 2952690) recently received an investor complaint alleging that he recommended an unsuitable bond. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Stifel Nicolaus & Company, having previously been registered with Raymond James & Associates.
Mr. Canalda’s BrokerCheck report discloses two investor complaints. The most recent, filed in March 2024, alleged that as a representative of Raymond James & Associates, he misrepresented and recommended an unsuitable foreign bond. The complaint alleged damages of $203,478 and was denied by the firm.
An earlier investor complaint, filed in 2013, alleged that as a representative of Barclays Capital, he misrepresented material facts regarding a structured product. The complaint alleged unspecified damages and was denied by the firm.
Stifel Nicolaus & Company’s website includes a page describing Mr. Canalda as a representative of the firm’s Miami International office. That office’s webpage describes its approach to working with its clients. “We want to understand your unique financial objectives so that we can develop a strategy specific to your needs and long-term financial goals,” it explains. “Whether you want to plan for retirement, save for your children’s college education, reduce your tax bills, or increase your income to meet monthly expenses, you can expect personalized, professional service and advice.”
According to the Financial Industry Regulatory Authority, Diego Canalda holds 25 years of securities industry experience. Based in Miami, Florida, he has been registered as a broker and an investment advisor with Stifel Nicolaus & Company since July 2023. His registration history includes Raymond James & Associates (Miami, Florida; 2016-2023), Deutsche Bank Securities (Miami, Florida; 2014-2016), Barclays Capital (Miami, Florida; 2008-2014), Lehman Brothers (Miami, Florida; 1999-2008), and Standard New York Securities (New York, New York; 1998-1999). His credentials include the passage of five securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the National Commodity Futures Examination, or Series 3; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Combined State Law Examination, or Series 66. He holds 28 state licenses. (Information current as of April 6, 2024.)
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