Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Arturo? Claim Your ProfileArturo Rodriguez diaz is an investment advisor representative with Aegis Capital Corp. Arturo is a licensed and registered professional, with over 30 years of experience in the financial services industry. Arturo is dedicated to helping individuals, families, and businesses achieve their financial goals. Arturo is committed to providing personalized financial advice and guidance, and strives to build long-lasting relationships with clients.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
1
2
FL
06/11/2015 - Present
Aegis Capital Corp. (CORAL GABLES FL)
FL
08/31/2012 - 07/10/2015
CAPITAL GUARDIAN, LLC (MIAMI FL)
FL
01/10/2011 - 08/31/2012
GLOBAL INVESTOR SERVICES, L.C. (MIAMI FL)
FL
04/16/2010 - 01/12/2011
ROYAL ALLIANCE ASSOCIATES, INC. (MIAMI FL)
FL
03/20/2009 - 04/20/2010
OPPENHEIMER & CO. INC. (MIAMI FL)
FL
02/24/2006 - 03/16/2009
STANFORD GROUP COMPANY (MIAMI FL)
MA
02/20/2003 - 02/21/2006
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
NY
03/21/1996 - 02/19/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
09/25/1990 - 03/05/1996
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NY
02/15/1988 - 10/11/1990
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
02/26/1987 - 02/15/1988
E. F. HUTTON & COMPANY INC
NA
09/24/1984 - 01/27/1987
PAINEWEBBER INCORPORATED
BOTH
Issued 09/06/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/02/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/25/1993
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/21/1995
Series 31 - Futures Managed Funds Examination
BC
Issued 09/15/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE Arca, Inc.
N
Nasdaq Stock Market
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