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Ramon Diaz

Wells Fargo Securities, LLC

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About Ramon Diaz

Ramon Diaz is a securities professional with over 10 years of experience in the financial industry. Ramon has a strong background in investment company products and variable contracts, as well as general securities. Ramon holds multiple licenses, including Series 6, 7, and 63. Ramon is currently registered with Wells Fargo Securities, LLC and has been working for this firm since 2019. Before that, Ramon worked for WELLS FARGO CLEARING SERVICES, LLC and J.P. MORGAN SECURITIES LLC.

Firm Information

Ramon Diaz is currently registered with Wells Fargo Securities, LLC. Wells Fargo Securities, LLC is a Limited Liability Company formed in March 2003. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

1,325

Total Financial Advisors

Services Offered

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.

Fee Structure

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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Ramon Diaz’s Registration & Firm History

FL

05/29/2019 - Present

Wells Fargo Securities, LLC (MIAMI FL)

FL

01/28/2014 - 06/03/2019

WELLS FARGO CLEARING SERVICES, LLC (MIAMI FL)

FL

11/28/2012 - 01/23/2014

J.P. MORGAN SECURITIES LLC (HIALEAH FL)

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Licenses & Designations

BC

Issued 04/15/2014

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/03/2017

Series 7 - General Securities Representative Examination

BC

Issued 11/27/2012

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Ramon Diaz.
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