Robert Diaz is a CFP-designated registered investment advisor, based in Alton, IL, with 16 years of industry experience. Robert is also registered as a broker, so some compensation may come from commissions on products sold.
Location
111 E. 4th Street, Suite 222, Alton, IL, 62002
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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 →Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
July 2022 - Present · 4 yrs 3 mos
Raymond James Financial Services, INC.Broker
July 2022 - Present · 4 yrs 3 mos
Previous Registrations
Edward Jones
November 2011 - July 2022 · 10 yrs 8 mos
Edward JonesBroker
November 2011 - July 2022 · 10 yrs 8 mos
Waddell & Reed, INC.
December 2009 - November 2011 · 1 yr 11 mos
Waddell & Reed, INC.Broker
November 2009 - November 2011 · 2 yrs
State Registrations26 states
ALARAZCACODCFLGAIAILINKSKYMDMOMSNJNYOHOKORPASCTXVAWY
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.
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