CD
CD

Claudia Diaz

11 Years of Experience
Short Hills, NJ
Broker

Claudia Diaz is a registered investment advisor at Morgan Stanley, based in Short Hills, NJ, with 11 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.

Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B

Fee Structure

Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
Loading...

Location

150 JFK Parkway, 2nd Floor, Short Hills, NJ, 07078

Get directions

History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

Learn about disclosures →
Other Business Activities

Claudia is the Vice President of a dormant company, Gem Construction Corp., and the sole proprietor/owner of Sunset Builders and Developers Inc. She is also the executor/co-executor of an estate and owns rental property; these activities take minimal time.

Employment History
Current Registrations
Morgan StanleyBroker
October 2022 - Present · 3 yrs 7 mos
Morgan Stanley
October 2022 - Present · 3 yrs 7 mos
Previous Registrations
Nylife Securities LLCBroker
October 2021 - October 2022 · 1 yr
Salomon Smith Barney INC.Broker
July 1993 - February 2000 · 6 yrs 7 mos
Lehman Brothers INC.Broker
July 1993 - July 1993 · 0 mos
State Registrations43 states
AKAZCACOCTDCDEFLGAHIIAIDILINKSMAMDMIMNMOMSMTNCNHNJNMNVNYOHOKORPARISCTNTXUTVAVTWAWIWVWY
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.