Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Elba? Claim Your ProfileElba Margie Diaz is a financial advisor currently registered with Wells Fargo Clearing Services, LLC. Elba Diaz has been in the industry since March 9, 2012 and is licensed in 48 states. Elba Diaz previously worked at Ameriprise Financial Services, Inc. and TD Ameritrade, Inc. Elba Diaz specializes in investment consulting services to institutional clients, financial planning, pension consulting, selection of other advisors, and portfolio management for businesses and individuals.
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.
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.
Investment consulting services to institutional clients
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CO
10/28/2019 - Present
Wells Fargo Clearing Services, LLC (GREENWOOD VILLAGE CO)
TX
10/05/2016 - 05/24/2017
WELLS FARGO CLEARING SERVICES, LLC (GEORGETOWN TX)
IL
08/20/2015 - 07/26/2016
AMERIPRISE FINANCIAL SERVICES, INC. (CHICAGO IL)
IL
11/25/2013 - 09/04/2014
AMERIPRISE FINANCIAL SERVICES, INC. (CHICAGO IL)
IL
09/04/2013 - 10/28/2013
TD AMERITRADE, INC. (CHICAGO IL)
TX
03/03/2011 - 11/10/2011
AMERIPRISE FINANCIAL SERVICES, INC. (AUSTIN TX)
IL
08/21/2006 - 08/03/2009
WOLF FINANCIAL MANAGEMENT, LLC (OAK BROOK IL)
BOTH
Issued 10/26/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/20/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/18/2006
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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