Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Regino? Claim Your ProfileRegino Diaz is an investment advisor representative with J.P. Morgan Securities LLC based in Irvine, CA. Regino has been in the industry since March 27, 2012. Regino is registered with the state of California to provide investment advisory services and holds a variety of securities licenses including Series 6, 7, 9, 10, 26, 63 and 66. Regino has experience working with Merrill Lynch, Pierce, Fenner & Smith Incorporated and Bank of America Investment Services, Inc. Regino is also a Certified Financial Planner (CFP).
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
CA
03/14/2018 - Present
J.p. Morgan Securities LLC (Irvine CA)
CA
10/26/2015 - 03/14/2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEWPORT BEACH CA)
CA
08/13/2003 - 11/30/2006
BANC OF AMERICA INVESTMENT SERVICES, INC. (POMONA CA)
MA
06/12/2002 - 09/20/2002
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
BOTH
Issued 05/31/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/23/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/04/2017
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/16/2017
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/19/2003
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/26/2015
Series 7 - General Securities Representative Examination
BC
Issued 06/07/2002
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe C2 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
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
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