Craig R. Watanabe
DIVERSIFY ADVISORY SERVICES
LA CANADA, CA
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CRD#: 1177960
Professional summary
Craig Robert Watanabe, AIF®, CFP®, who also goes by Craig R Watanabe, is a registered financial advisor currently at DIVERSIFY ADVISORY SERVICES, LLC located in La Canada, California and DFPG INVESTMENTS, LLC located in La Canada, California.
Craig is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Craig has worked at 12 firms and has passed the Series 65, Series 63, Series 52TO, Series 57TO, Series 99TO, SIE, Series 87, Series 55, Series 7, Series 27, Series 53, Series 4 and Series 24 exams.
Question & Answer
What are your service offerings?
Insurance Planning
Employee and Employer Plan Ben...
Investment Planning
Estate Planning
Education Planning
Retirement Planning
Comprehensive Financial Planni...
Tax Planning
Are you a "fiduciary"?
Yes
Aliases
Craig R Watanabe
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. Craig Watanabe-Insurance; Non-Investment Related; 727 Foothill Blvd, La Canada CA 91011; Insurance; Insurance Agent; 08/2017; 1% during business hours; Non-variable insurance 2. RIA Compliance Firm, LLC; 727 Foothill Blvd, La Canada CA 91011; Start Date: 1/21/2019; Compliance Consultant, 01/2019; 10% during business hours; RIA compliance consulting 3. Willow Creek Compliance Consulting (DFPG Investments); 9017 S Riverside Dr, Sandy UT 84070; Start date: 1/1/2022; Compliance Consultant, 8% during business hours; Provide compliance consulting for RIAs
CRS (Client Relationship Summary) - RIA
Click below to view Craig Robert Watanabe's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1986
Experience
Current
September 5, 2023 - Present
DIVERSIFY ADVISORY SERVICES, LLC
RIA
CRD#: 326060
LA CANADA, CA
Current
October 27, 2017 - Present
DFPG INVESTMENTS, LLC
BD
CRD#: 155576
la canada, CA
Past
April 20, 2018 - December 31, 2023
DFPG INVESTMENTS, LLC
RIA
CRD#: 155576
LA CANADA, CA
Past
August 8, 2017 - July 2, 2018
AMERICAN FINANCIAL NETWORK ADVISORY SERVICES, LLC
RIA
CRD#: 160322
CALABASAS, CA
Past
June 22, 2011 - September 5, 2013
PENSION ARCHITECTS ADVISORY GROUP, LLC
RIA
CRD#: 145242
PASADENA, CA
Past
October 8, 2009 - November 8, 2017
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
BD
CRD#: 20804
CALABASAS, CA
Past
October 28, 2008 - October 13, 2009
NRP ADVISORS, INC.
RIA
CRD#: 141430
PASADENA, CA
Past
October 21, 2008 - August 31, 2017
BRIDGE ADVISORY LLC
RIA
CRD#: 148282
PASADENA, CA
Past
July 30, 2008 - November 20, 2008
PENNIALL & ASSOCIATES, INC.
RIA
CRD#: 121336
PASADENA, CA
Past
May 30, 2008 - October 28, 2008
NRP FINANCIAL, INC.
RIA
CRD#: 103717
PASADENA, CA
Past
May 30, 2008 - October 13, 2009
NRP FINANCIAL, INC.
BD
CRD#: 103717
PASADENA, CA
Past
April 13, 2001 - January 2, 2002
LIBRA SECURITIES, LLC
BD
CRD#: 104161
LOS ANGELES, CA
Past
February 22, 2000 - October 9, 2009
WESTERN INTERNATIONAL SECURITIES, INC.
RIA
CRD#: 39262
PASADENA, CA
Past
July 22, 1996 - October 9, 2009
WESTERN INTERNATIONAL SECURITIES, INC.
BD
CRD#: 39262
PASADENA, CA
Past
August 24, 1983 - August 12, 1996
INTERFIRST CAPITAL CORPORATION
BD
CRD#: 7659
LOS ANGELES, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
DA
DIVERSIFY ADVISORY SERVICES, LLC
ADVANCED WEALTH STRATEGIES GROUP | WESTRIDGE WEALTH STRATEGIES | THS PRIVATE FAMILY OFFICE | THE CRESTWELL GROUP | SPARK FINANCIAL SERVICE | SERRATELLI FINANCIAL GROUP | ROCKY MOUNTAIN WEALTH ADVISORS | RANCHO PRIVATE WEALTH | PROVIDENCE WEALTH ADVISORS | PLATINUM WEALTH GROUP | PATTERSON FINANCIAL SOLUTIONS | PARKVIEW WEALTH ADVISORS | NUCLEUS FINANCIAL GROUP | MARCH FORWARD | LONGHORN FINANCIAL | KLK CAPITAL MANAGEMENT, LLC | KEY ADVISORS WEALTH MANAGEMENT LLC | INVENTA WEALTH ADVISORS | INPAC WEALTH SOLUTIONS | ICONA WEALTH | HARDING FINANCIAL & INSURANCE | GROVE WEALTH ADVISORS | GRIFFIN WEALTH PARTNERS | GRADY CAPITAL GROUP | GOMEZ CORP | GLOBAL WEALTH PARTNERS, INC. | GLIDE FINANCIAL GROUP | GEN 1 FINANCIAL | FULCRUM INVESTMENT SERVICES | FIRST FINANCIAL CENTER OF DALLAS | FINANCIAL RESOURCES INC. | EVERGREEN ADVISOR GROUP | DIVERSIFY, INC. | DIVERSIFY ADVISORY SERVICES, LLC | DIVERSIFY ADVISOR NETWORK | CITY CENTER WEALTH ADVISORS | CIPOLLA FINANCIAL ADVISORS | CAPATA FINANCIAL | BUTLER FINANCIAL ADVISORS | BRIDGE EQUITIES | BOSTON WEALTH ADVISOR GROUP | ASHLAND PACIFIC | ANIMAS CAPITAL MANAGEMENT LLC
CRD#: 326060 / SEC#: 801-128675
RIA
Registered Investment Advisory firm - (8/31/2023 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(10/27/2017)
IAR
California(9/5/2023)
RR
New York(9/18/2019)
RR
Oregon(10/27/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 9/10/2004
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
DA
DIVERSIFY ADVISORY SERVICES, LLC
ADVANCED WEALTH STRATEGIES GROUP | WESTRIDGE WEALTH STRATEGIES | THS PRIVATE FAMILY OFFICE | THE CRESTWELL GROUP | SPARK FINANCIAL SERVICE | SERRATELLI FINANCIAL GROUP | ROCKY MOUNTAIN WEALTH ADVISORS | RANCHO PRIVATE WEALTH | PROVIDENCE WEALTH ADVISORS | PLATINUM WEALTH GROUP | PATTERSON FINANCIAL SOLUTIONS | PARKVIEW WEALTH ADVISORS | NUCLEUS FINANCIAL GROUP | MARCH FORWARD | LONGHORN FINANCIAL | KLK CAPITAL MANAGEMENT, LLC | KEY ADVISORS WEALTH MANAGEMENT LLC | INVENTA WEALTH ADVISORS | INPAC WEALTH SOLUTIONS | ICONA WEALTH | HARDING FINANCIAL & INSURANCE | GROVE WEALTH ADVISORS | GRIFFIN WEALTH PARTNERS | GRADY CAPITAL GROUP | GOMEZ CORP | GLOBAL WEALTH PARTNERS, INC. | GLIDE FINANCIAL GROUP | GEN 1 FINANCIAL | FULCRUM INVESTMENT SERVICES | FIRST FINANCIAL CENTER OF DALLAS | FINANCIAL RESOURCES INC. | EVERGREEN ADVISOR GROUP | DIVERSIFY, INC. | DIVERSIFY ADVISORY SERVICES, LLC | DIVERSIFY ADVISOR NETWORK | CITY CENTER WEALTH ADVISORS | CIPOLLA FINANCIAL ADVISORS | CAPATA FINANCIAL | BUTLER FINANCIAL ADVISORS | BRIDGE EQUITIES | BOSTON WEALTH ADVISOR GROUP | ASHLAND PACIFIC | ANIMAS CAPITAL MANAGEMENT LLC
CRD#: 326060 / SEC#: 801-128675
RIA
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Contact information
Main Address
9017 S Riverside Dr. Suite 210, Sandy, UT 84070
Mailing Address
Phone number
(801) 890-7577
Established
Firm type
Fiscal year end
# of Employees
171
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8,318 |
| AUM (Assets Under Management) | $ 3,206,698,268 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2024 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
DIVERSIFY ADVISORY SERVICES, LLC
CRD#: 326060La Canada, CATRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
