Richard Diaz, financial advisor Lansing MI
61 score

Richard Diaz

CRD Number: 4455758
Current Firm: Principal Securities, Inc.

Richard Diaz (CRD# 4455758) is an Investment Advisor Representative working at Principal Securities, Inc. in Lansing, MI and has over 13 years of experience in the finance industry.

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Company Name Location Dates Years
Washington Avenue Advisors Lansing, MI Mar 2016 - Current < 1
The Centennial Group Lansing, MI Sep 2014 - Current 2
Princor Financial Lansing, MI Feb 2013 - Current 3
Principal Financial Lansing, MI Jan 2013 - Current 3
Securian Financial Services Inc. St. Paul, MN Sep 2003 - Jan 2013 9
Minnesota Life St. Paul, MN Sep 2003 - Jan 2013 9
Centennial Associates Inc. Lansing, MI Sep 2003 - Jan 2013 9
Centennial Employee Benefits Lansing, MI Jan 2004 - Dec 2007 3
The Centennial Group Lansing, MI Jul 2004 - Apr 2007 2
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Oct 2003
S65 NASAA Investment Advisors Law Examination Dec 2007
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:
  • Civil Judgement
  • Judgments / Liens
Get Details on the FINRA Advisor Check site
Contact Info for Richard Diaz
Phone Number: 888-774-6267
Firm Website: http://www.principal.com
Registered State(s):
  • MI
By the Numbers
  • Total Assets Under Management
    1,622
    MILLIONS
  • Total Number of Accounts
    15,486
    ACCOUNTS
  • Average Account Value
    $104,766
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
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, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
61

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