Ronald DiazCRD Number: 5283407
Current Firm: J.p. Morgan Securities LLC
Ronald Diaz (CRD# 5283407) is an Investment Advisor Representative working at J.p. Morgan Securities LLC in Tucson, AZ and has over 8 years of experience in the finance industry.
First Allied Advisory Services, Inc.
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Lpl Financial LLC
|J.p. Morgan Securities LLC||Tucson, AZ||Oct 2012 - Current||4|
|Jpmorgan Chase Bank Na||Tucson, AZ||Aug 2009 - Current||7|
|Chase Investment Services Corp||Tucson, AZ||Aug 2009 - Oct 2012||3|
|Dun & Bradstreet||Tucson, AZ||Mar 2009 - Jul 2009||< 1|
|Unemployed||Tucson, AZ||Nov 2008 - Mar 2009||< 1|
|Merrill Lynch||Tucson, AZ||Jul 2008 - Nov 2008||< 1|
|Country Financial||Tucson, AZ||Jun 2008 - Jul 2008||< 1|
|My Diamond Gallery||Tucson, AZ||Jan 2002 - Jul 2008||6|
|My Diamond Gallery||Tucson, AZ||Jan 2002 - May 2008||6|
|Forward Strategies||Tucson, AZ||Mar 2008 - Apr 2008||< 1|
|Axa Advisors, LLC||New York, NY||Apr 2007 - Feb 2008||< 1|
|Jpmorgan Chase Na||Tucson, AZ||Jan 2007 - Mar 2007||< 1|
|Chase Bank||Tucson, AZ||Jan 2007 - Mar 2007||< 1|
|University Of Arizona||Tucson, AZ||May 2002 - Dec 2006||4|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Sep 2013|
|S63||Uniform Securities State Law Examination||Feb 2008|
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:
- Financial Issue
Total Assets Under Management70,743MILLIONS
Total Number of Accounts344,720ACCOUNTS
Average Account Value$205,219
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Performance-based fees
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- 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, 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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