Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jose? Claim Your ProfileJose Sepulveda Diaz is a financial advisor at LPL Financial LLC and has been in the financial services industry since 1993. Jose is registered with FINRA and has the Series 7, Series 24, Series 63 and Series 65 licenses. Jose also has a state-level investment advisor license. Jose specializes in working with individual clients and businesses.
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.
Consulting and other non-discretionary advisory services
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
CA
05/21/2020 - Present
LPL Financial LLC (MODESTO CA)
CA
06/01/2009 - 11/18/2009
MORGAN STANLEY SMITH BARNEY (MODESTO CA)
CA
10/31/1994 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (MODESTO CA)
NY
01/19/1993 - 11/04/1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 09/30/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/15/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/26/2011
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/04/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
Not sure Jose Diaz is the right advisor for you? Invested Better is here to help.
