Dean Diaz, financial advisor Placentia CA
93 score

Dean Diaz

CRD Number: 4445024
Current Firm: Eagle Strategies LLC

Dean Diaz (CRD# 4445024) is an Investment Advisor Representative working at Eagle Strategies LLC in Placentia, CA and has over 7 years of experience in the finance industry.

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Company Name Location Dates Years
Axiom Financial & Insurance Solutions Irvine, CA Dec 2013 - Current 3
Eagle Strategies LLC Irvine, CA Nov 2013 - Current 3
Nylife Securities LLC New York, NY Mar 2009 - Current 7
New York Life Insurance Irvine, CA Mar 2009 - Current 7
Unemployed Irvine, CA Jan 2009 - Mar 2009 < 1
Ctx Mortgage / Centex Homes Corona, CA Nov 2002 - Jan 2009 6
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jun 2009
S66 NASAA Uniform Combined State Law Examination Oct 2013
Contact Info for Dean J. Diaz
Phone Number: (888) 695-3245
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    5,154
    MILLIONS
  • Total Number of Accounts
    29,837
    ACCOUNTS
  • Average Account Value
    $172,747
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • 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
93
Clean Record
This advisor has a clean track record with regulators.

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