Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alexander? Claim Your ProfileAlexander Diaz is a financial professional based in CONCORD, CA. Alexander has been in the financial services industry since 2005. Alexander has worked for several firms, including Assetmark Brokerage, LLC, Capital Brokerage Corporation, Assetmark Capital Corporation, Citicorp Investment Services, American Express Financial Advisors Inc., and IDS Life Insurance Company. Currently, Alexander is registered with Assetmark Brokerage, LLC in California. Alexander holds the Series 66, Series 7 and SIE licenses.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
CA
08/15/2014 - Present
Assetmark Brokerage, LLC (CONCORD CA)
CA
04/01/2008 - 08/15/2014
CAPITAL BROKERAGE CORPORATION (CONCORD CA)
CA
03/24/2006 - 04/01/2008
ASSETMARK CAPITAL CORPORATION (PLEASANT HILL CA)
NY
07/08/2005 - 03/21/2006
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
MN
01/31/2005 - 04/09/2005
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
01/31/2005 - 04/09/2005
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BOTH
Issued 03/26/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/28/2005
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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