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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ricardo? Claim Your ProfileRicardo Diaz is a financial professional with over 20 years of experience in the industry. Ricardo is currently a Registered Representative and Investment Advisor Representative with Janney Montgomery Scott LLC, in Atlanta, GA. Ricardo holds a variety of licenses, including Series 7, 63, 65, and 24. Ricardo has worked with a variety of clients, including individuals, corporations, high-net-worth individuals, pension and profit-sharing plans, and charitable organizations. Ricardo offers a range of financial services, including financial planning, portfolio management, and investment advisory services.
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.
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.
Fee plus commission
1
2
GA
05/31/2019 - Present
Janney Montgomery Scott LLC (ATLANTA GA)
GA
03/18/2010 - 07/31/2019
FIG PARTNERS, LLC (ATLANTA GA)
GA
07/07/2005 - 03/13/2007
SUNTRUST CAPITAL MARKETS, INC. (ATLANTA GA)
NY
10/01/1998 - 07/20/2000
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
CA
04/18/1996 - 10/01/1998
BANCAMERICA SECURITIES, INC. (SAN FRANCISCO CA)
NY
08/18/1993 - 02/01/1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 09/08/2014
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/26/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/26/2010
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/17/2010
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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