Jorge Diaz, financial advisor Wilmington DE
93 score

Jorge Diaz

CRD Number: 4490045
Current Firm: Morgan Stanley

Jorge Diaz (CRD# 4490045) is an Investment Advisor Representative working at Morgan Stanley in Wilmington, DE and has over 13 years of experience in the finance industry.

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Company Name Location Dates Years
Morgan Stanley Private Bank, National Association New York, NY Jan 2015 - Current 1
Morgan Stanley Smith Barney LLC Wilmington, DE Aug 2013 - Current 3
Morgan Stanley Smith Barney LLC Greenville, DE Mar 2010 - Aug 2013 3
Allstate Insurance Co Newark, DE Nov 2007 - Mar 2010 2
Waddell & Reed Chadd's Ford, PA Jan 2007 - Nov 2007 < 1
Wachovia Securities, Inc.-isg Wilmington, DE May 2003 - Dec 2006 3
Wachovia Bank Wilmington, DE Jun 2002 - Dec 2006 4
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Dec 2002
S66 NASAA Uniform Combined State Law Examination Jan 2007
Contact Info for Jorge H. Diaz
Phone Number: 914-225-5510
Registered State(s):
  • DE
  • PA
  • TX
By the Numbers
  • Total Assets Under Management
    535,890
    MILLIONS
  • Total Number of Accounts
    1,563,538
    ACCOUNTS
  • Average Account Value
    $342,742
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
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, RI, SC, SD, TN, TX, UT, VA, VI, 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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