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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Erick? Claim Your ProfileErick Gabriel Diaz is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. He is licensed to conduct securities business in all 50 states as well as Puerto Rico and the Virgin Islands. Erick has been in the securities industry since December 2011 and has a wide range of experience in providing investment advice to individuals, businesses and institutions. He has a strong track record of success in helping clients reach their financial goals. Erick holds the Series 3, 7, 9, 10, and 66 licenses. He is also a registered investment advisor in the state of Texas.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
TX
08/01/2022 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (Fort Worth TX)
BOTH
Issued 07/30/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/27/2022
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/11/2022
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/30/2022
Series 3 - National Commodity Futures Examination
BC
Issued 07/05/2022
Series 7TO - General Securities Representative Examination
BC
Issued 11/11/2021
SIE - Securities Industry Essentials Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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