Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Gary? Claim Your ProfileGary Omar Diaz is a financial advisor with Stifel Independent Advisors, LLC. Gary has been in the industry since 1998. Gary is registered to provide investment advice in New Jersey and New York. Gary has passed the Series 6, 7, 55, 57TO, and SIE exams.
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.
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
NY
04/06/2022 - Present
Stifel Independent Advisors, LLC (NEW YORK NY)
NJ
06/25/1999 - 08/27/2007
RYAN BECK & CO. (FLORHAM PARK NJ)
NC
04/16/1998 - 05/19/1999
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
BC
Issued 06/08/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/28/2004
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 07/07/1999
Series 7 - General Securities Representative Examination
BC
Issued 04/06/1998
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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