Rodrigo Diaz is a registered investment advisor, based in Erie, PA, with 32 years of industry experience.
Location
2725 Colonial Ave, Erie, PA, 16506
Get directionsHistory
Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
August 2016Denied
Other Business ActivitiesSells Insurance
Rodrigo is a retirement plan manager for HBKS Wealth Advisors, owner/general partner of EJ Aviation LLC, board member/treasurer for Pittsburgh Retirement Professionals, owner of Capricorn and Cander LLC, a registered rep for Purshe Kaplan Sterling Investments, and an insurance agent for HBK Sorce Insurance LLC. He dedicates a full-time equivalent to his role as retirement plan manager.
Employment History
Current Registrations
Purshe Kaplan Sterling InvestmentsBroker
March 2021 - Present · 5 yrs 2 mos
Hbks Wealth Advisors
October 2019 - Present · 6 yrs 7 mos
Previous Registrations
Mckinley Carter Wealth Services, INC.
January 2013 - October 2019 · 6 yrs 9 mos
UBS Financial Services INC.Broker
September 2011 - January 2013 · 1 yr 4 mos
UBS Financial Services INC.
September 2011 - January 2013 · 1 yr 4 mos
Janney Montgomery Scott LLC
June 2005 - September 2011 · 6 yrs 3 mos
Janney Montgomery Scott LLCBroker
June 2005 - September 2011 · 6 yrs 3 mos
Parker/hunter Incorporated
February 2005 - June 2005 · 4 mos
Parker/hunter IncorporatedBroker
October 1993 - June 2005 · 11 yrs 8 mos
State Registrations11 states
ARAZCODEFLMNNENYOHPATN
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.