Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Erik? Claim Your ProfileErik Luis Diaz is a financial professional with over 19 years of experience in the industry. Erik Diaz is currently registered with Fidelity Brokerage Services LLC. Erik Diaz has previously held positions at National Financial Services LLC, BANC of America Investment Services, Inc., IFMG Securities, Inc. and Putnam Retail Management Limited Partnership. Erik Diaz holds the Series 6, Series 7, Series 63, Series 99TO and SIE licenses.
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.
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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2
RI
05/30/2023 - Present
Fidelity Brokerage Services LLC (SMITHFIELD RI)
RI
11/16/2009 - 04/19/2023
NATIONAL FINANCIAL SERVICES LLC (SMITHFIELD RI)
RI
06/09/2005 - 01/29/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (PROVIDENCE RI)
NY
01/06/2005 - 04/12/2005
IFMG SECURITIES, INC. (PURCHASE NY)
MA
06/02/2003 - 02/22/2005
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP (BOSTON MA)
BC
Issued 09/05/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/30/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/08/2004
Series 7 - General Securities Representative Examination
BC
Issued 05/30/2003
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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