Ernesto Diaz, financial advisor Incline Village NV
90 score

Ernesto Diaz

CRD Number: 5954945
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Ernesto Diaz (CRD# 5954945) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Incline Village, NV and has over 5 years of experience in the finance industry.

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Company Name Location Dates Years
Bank Of America, N.a. Reno, NV Jul 2011 - Current 5
Merrill Lynch, Pierce, Fenner & Smith Incorporated Reno, NV Jun 2011 - Current 5
Bank Of America Incline Village, NV Dec 2009 - Jun 2011 1
Century 21 Downey, CA Jun 2009 - Dec 2009 < 1
Verizon Wireless Irvine, CA Jun 2005 - Jun 2009 4
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Nov 2011
Contact Info for Ernesto A. Diaz
Phone Number: 800-637-7455
Registered State(s):
  • CA
  • NV
  • TX
By the Numbers
  • Total Assets Under Management
    575,342
    MILLIONS
  • Total Number of Accounts
    1,715,259
    ACCOUNTS
  • Average Account Value
    $335,425
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
90
Clean Record
This advisor has a clean track record with regulators.

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