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 25 years of experience in the finance industry.
Northstar Financial Planners, Inc.
Fin-est Investment Advisors, LLC
|Aegis Capital Corp||Miami, FL||Jun 2015 - Current||2|
|Riwm, LLC||Miami, FL||Feb 2012 - Current||6|
|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 Management369MILLIONS
Total Number of Accounts1,350ACCOUNTS
Average Account Value$273,396
- 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
Wealthminder was created for one simple reason: To help people get the financial assistance they need to achieve their long-term financial goals.
Wealthminder is a database of every Investment Advisor Representative in the country. We work hard to collect and provide you the information you need to find a financial advisor who’s right for you.
If you are looking for a specific financial advisor and you can’t find them on Wealthminder, it’s likely that they are either exclusively a broker or are unlicensed - please contact us and we’ll try to help!
Finding a Financial Advisor through Wealthminder
Historically finding and hiring a financial advisor was hard. Wealthminder was built to make the process much easier.
The best way to use Wealthminder is to take advantage of our free proposal system. All you have to do is take a few minutes of your time to describe your situation and the assistance you are looking for.
Wealthminder then sends your request to our network of prescreened financial advisors. If a financial advisor is interested in your business, they will submit a proposal to you.
You review the proposals you receive and decide if you’d like to have a follow-up call with one or more of the financial advisors.
Throughout the process, you maintain control. We only share your contact information with a financial advisor once you ask for an introduction.