Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jorge? Claim Your ProfileJorge Diaz has been in the financial industry since 2002. Jorge is currently registered with Robert W. Baird & Co. Inc. and is a registered representative in several states, including Delaware, Florida, Maryland, Pennsylvania and Texas. Jorge has previously worked for Morgan Stanley, Allstate Financial Services, LLC, Waddell & Reed, Inc. and Wachovia Securities, LLC. Jorge has passed the Series 63, 66, 7 and 31 exams and the SIE. Jorge specializes in portfolio management for individuals, businesses, investment companies, and pooled investment vehicles.
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.
Strategic management for diversified investment portfolios.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
Hard dollar payments for research
1
2
DE
07/21/2017 - Present
Robert W. Baird & Co. Inc. (Townsend DE)
DE
04/01/2010 - 07/24/2017
MORGAN STANLEY (WILMINGTON DE)
DE
12/07/2007 - 03/19/2010
ALLSTATE FINANCIAL SERVICES, LLC (WILMINGTON DE)
PA
01/19/2007 - 11/30/2007
WADDELL & REED, INC. (CHADD'S FORD PA)
DE
10/09/2002 - 12/19/2006
WACHOVIA SECURITIES, LLC (MIDDLETOWN DE)
BOTH
Issued 01/26/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/13/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/26/2010
Series 31 - Futures Managed Funds Examination
BC
Issued 10/08/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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