Jose Diaz, financial advisor Danbury CT
89 score

Jose Diaz

CRD Number: 6175117
Current Firm: Raymond James Financial Services Advisors, Inc.

Jose Diaz (CRD# 6175117) is an Investment Advisor Representative working at Raymond James Financial Services Advisors, Inc. in Danbury, CT and has over 3 years of experience in the finance industry. Jose Diaz has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Raymond James Financial Services Advisors Inc. Danbury, CT Oct 2013 - Current 3
Raymond James Financial Services Danbury, CT Jun 2013 - Current 3
Union Savings Bank Danbury, CT Jul 2011 - Current 5
Raymond James Financial Services Danbury, CT Mar 2013 - Jun 2013 < 1
Jc Penney Danbury, CT Jul 2008 - Mar 2013 4
Central Connecticut State University New Britain, CT Jul 2006 - Aug 2011 5
Ccsu Sports Information New Britain, CT Nov 2010 - Mar 2011 < 1
Central Connecticut State University New Britain, CT Oct 2007 - May 2010 2
Sears Danbury, CT Jun 2008 - Jul 2008 < 1
Sears Danbury, CT Jun 2007 - Aug 2007 < 1
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Oct 2013
Contact Info for Jose M. Diaz
Phone Number: 727-567-5877
Registered State(s):
  • CT
By the Numbers
  • Total Assets Under Management
    64,210
    MILLIONS
  • Total Number of Accounts
    224,839
    ACCOUNTS
  • Average Account Value
    $285,581
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
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
89
Clean Record
This advisor has a clean track record with regulators.

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