Ronald Diaz, financial advisor Tucson AZ
81 score

Ronald Diaz

CRD 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.

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Company Name Location Dates Years
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
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:
  • Financial Issue
Get Details on the FINRA Advisor Check site
Contact Info for Ronald Diaz
Phone Number: 800-999-2000
Firm Website: https://www.jpmorgan.com
Registered State(s):
  • AZ
  • TX
By the Numbers
  • Total Assets Under Management
    70,743
    MILLIONS
  • Total Number of Accounts
    344,720
    ACCOUNTS
  • Average Account Value
    $205,219
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Performance-based fees
Advisory Services Offered
  • 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)
Types of Clients
Registered States

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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BADGES
81

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