Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roger? Claim Your ProfileRoger Diaz is a financial advisor in Manhattan Beach, California with over 28 years of experience in the financial services industry. Roger is currently registered as a broker and investment advisor representative with Dearborn Partners LLC. Roger holds a variety of licenses and certifications, including the Series 7, Series 63, Series 65, and Series 24. Roger has previously been employed by a number of firms, including Delaware Distributors, L.P., TCW Funds Distributors, Putnam Retail Management Limited Partnership, and Planco Financial Services, Inc.
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.
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.
Strategic management for diversified investment portfolios.
Model management provider
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.
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2
CA
07/09/2020 - Present
Dearborn Partners LLC (Manhattan Beach CA)
PA
11/25/2014 - 03/07/2019
DELAWARE DISTRIBUTORS, L.P. (PHILADELPHIA PA)
CA
03/07/2003 - 11/19/2014
TCW FUNDS DISTRIBUTORS (LOS ANGELES CA)
MA
10/27/1998 - 10/07/2002
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP (BOSTON MA)
CT
12/13/1996 - 09/24/1998
PLANCO FINANCIAL SERVICES, INC. (HARTFORD CT)
NY
01/26/1996 - 12/04/1996
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NY
05/16/1994 - 02/12/1996
SMITH BARNEY INC. (NEW YORK NY)
NY
03/30/1993 - 05/16/1994
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
02/03/1993 - 02/25/1993
REYNOLDS KENDRICK STRATTON, INC.
IA
Issued 10/19/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/03/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/16/2013
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/01/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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