Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jose? Claim Your ProfileJose Ramon Diaz is a financial advisor with over 25 years of experience in the industry. Jose Diaz is currently registered with Raymond James & Associates, Inc. in Florida and Texas. Prior to joining Raymond James & Associates, Inc., Jose Diaz was registered with WELLS FARGO CLEARING SERVICES, LLC in Florida, BANC OF AMERICA INVESTMENT SERVICES, INC. in Massachusetts and BARNETT INVESTMENTS, INC. in Florida. Jose Ramon Diaz holds several licenses including Series 3, 7, 9, 10, 63, and 65. Jose Diaz specializes in providing financial advice to individuals, corporations, high-net-worth individuals, pension and profit-sharing plans, and other business clients.
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.
Please see note in schedule d - miscellaneous
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
FL
10/18/2021 - Present
Raymond James & Associates, Inc. (Coral Gables FL)
FL
08/13/2001 - 11/04/2021
WELLS FARGO CLEARING SERVICES, LLC (MIAMI FL)
MA
04/01/1998 - 08/22/2001
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
FL
02/13/1997 - 04/01/1998
BARNETT INVESTMENTS, INC. (JACKSONVILLE FL)
IA
Issued 05/20/2021
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/11/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/05/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/22/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/10/2008
Series 3 - National Commodity Futures Examination
BC
Issued 02/12/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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