Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Diana? Claim Your ProfileDiana Diaz is a financial advisor with Ameriprise Financial Services, LLC. Diana has been in the industry since November 2004. Diana is licensed in 43 states, including Texas where she holds both broker-dealer and investment advisor licenses. Diana has held previous positions at Wells Fargo Clearing Services, LLC and Wells Fargo Investments, LLC.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Asset allocation services
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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TX
04/01/2024 - Present
Ameriprise Financial Services, LLC (HOUSTON TX)
TX
01/03/2011 - 04/03/2024
WELLS FARGO CLEARING SERVICES, LLC (SPRING TX)
TX
11/25/2004 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (HOUSTON TX)
BOTH
Issued 12/21/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/17/2014
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/29/2014
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/24/2004
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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