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Sandra Diaz

Cetera Advisors LLC

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About Sandra Diaz

Sandra Diaz is a financial professional with over 18 years of experience in the financial services industry. Sandra is currently registered with Cetera Advisors LLC and holds licenses Series 7, 24, 52, 53, and 63. Sandra has previously been affiliated with MML Investors Services, LLC, MSI Financial Services, Inc., New England Securities, AXA Advisors, LLC, MetLife Securities Inc., Metropolitan Life Insurance Company, Charles Schwab & Co., Inc., and Chase Investment Services Corp.

Firm Information

Sandra Diaz is currently registered with Cetera Advisors LLC. Cetera Advisors LLC is a Limited Liability Company formed on August 31, 2012. It is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has 14 Regulatory Event disclosures, 1 Civil Event disclosure, and 7 Arbitration disclosures on file.

Not reported

Assets Under Management

Not reported

Total Clients

467

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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Sandra Diaz’s Registration & Firm History

TX

04/30/2021 - Present

Cetera Advisors LLC (HOUSTON TX)

TX

03/25/2017 - 04/30/2021

MML INVESTORS SERVICES, LLC (HOUSTON TX)

TX

09/17/2008 - 03/25/2017

MSI FINANCIAL SERVICES, INC. (HOUSTON TX)

TX

08/03/2012 - 01/02/2015

NEW ENGLAND SECURITIES (HOUSTON TX)

TX

07/01/2008 - 09/12/2008

AXA ADVISORS, LLC (HOUSTON TX)

TX

09/06/2006 - 06/13/2008

METLIFE SECURITIES INC. (HOUSTON TX)

TX

09/06/2006 - 07/09/2007

METROPOLITAN LIFE INSURANCE COMPANY (HOUSTON TX)

TX

05/24/2005 - 08/29/2006

CHARLES SCHWAB & CO., INC. (HOUSTON TX)

IL

09/10/2004 - 05/25/2005

CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)

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Licenses & Designations

BC

Issued 12/03/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/09/2009

Series 53 - Municipal Securities Principal Examination

BC

Issued 09/15/2006

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/09/2004

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Sandra Diaz.
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