Arturo Rodriguez DiazCRD Number: 1301783
Current Firm: Aegis Capital Corp.
Arturo Rodriguez Diaz (CRD# 1301783) is an Investment Advisor Representative working at Aegis Capital Corp. in Coral Gables, FL and has over 24 years of experience in the finance industry.
|Aegis Capital Corp||Miami, FL||Jun 2015 - Current||1|
|Riwm, LLC||Miami, FL||Feb 2012 - Current||4|
|Capital Guardian, LLC||Miami, FL||Aug 2012 - Jun 2015||2|
|Global Investor Services||Miami, FL||Jan 2011 - Aug 2012||1|
|Rehmann Financial||Miami, FL||Apr 2010 - Aug 2012||2|
|Royal Alliance Associates||Miami, FL||Apr 2010 - Jan 2011||< 1|
|Oppenheimer & Company Inc.||Miami, FL||Mar 2009 - Apr 2010||1|
|Stanford Group Company||Miami, TX||Feb 2006 - Mar 2009||3|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Oct 1992|
|S66||NASAA Uniform Combined State Law Examination||Sep 2005|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
- Regulatory Event
Total Assets Under Management327MILLIONS
Total Number of Accounts1,027ACCOUNTS
Average Account Value$318,015
- A percentage of assets under your management
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV
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