Stephanie Diaz is a registered investment advisor, based in Charlotte, NC, with 9 years of industry experience.
Location
5200 77 Center Drive, Suite 330, Charlotte, NC, 28217
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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 →Other Business Activities
Stephanie is involved in the sales of medical-grade alkaline water ionization solutions. The filing does not specify the time commitment for this activity.
Employment History
Current Registrations
Cetera Investment Services LLCBroker
June 2019 - Present · 7 yrs 1 mo
Cetera Investment Advisers LLC
June 2019 - Present · 7 yrs 1 mo
Previous Registrations
Foresters Advisory Services, LLC
May 2019 - June 2019 · 1 mo
Foresters Financial Services, INC.Broker
May 2019 - June 2019 · 1 mo
LPL Financial LLCBroker
February 2019 - April 2019 · 2 mos
LPL Financial LLC
February 2019 - April 2019 · 2 mos
Foresters Advisory Services, LLC
January 2018 - February 2019 · 1 yr 1 mo
Foresters Financial Services, INC.Broker
November 2016 - February 2019 · 2 yrs 3 mos
State Registrations2 states
NCSC
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.