Arturo Rodriguez Diaz, financial advisor Coral Gables FL
83 score

Arturo Rodriguez Diaz

CRD 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.

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Company Name Location Dates Years
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
Disclosure Information

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
Get Details on the FINRA Advisor Check site
Contact Info for Arturo J. Rodriguez Diaz
Phone Number: 212-813-1010
Registered State(s):
  • FL
  • PR
By the Numbers
  • Total Assets Under Management
    327
    MILLIONS
  • Total Number of Accounts
    1,027
    ACCOUNTS
  • Average Account Value
    $318,015
Compensation Options
  • A percentage of assets under your management
  • Commissions
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

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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BADGES
83

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