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Carlos Manuel Diaz

Pershing LLC

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About Carlos Manuel Diaz

Carlos Diaz is a financial professional with over 27 years of experience in the industry. Carlos is currently registered with Pershing LLC and has held licenses in Florida, New Jersey, and New York. Carlos has passed a number of exams including the Series 63, Series 24, Series 52, Series 99, SIE, and Series 7. Carlos has a broad range of experience and expertise in the financial services industry and has demonstrated a commitment to providing his clients with the best possible service. Carlos works with clients in the LAKE MARY area.

Firm Information

Carlos Diaz is currently registered with Pershing LLC. Pershing LLC is a Limited Liability Company formed in January 2003. The firm is registered in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. They have one approved SEC registration and 53 approved state registrations.

Not reported

Assets Under Management

Not reported

Total Clients

692

Total Financial Advisors

Services Offered

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.

Fee Structure

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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Carlos Diaz’s Registration & Firm History

FL

03/05/1996 - Present

Pershing LLC (LAKE MARY FL)

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Licenses & Designations

BC

Issued 10/12/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/20/2000

Series 24 - General Securities Principal Examination

BC

Issued 08/04/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/04/1996

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe C2 Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

MIAX Sapphire

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Carlos Manuel Diaz.
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