RD
Rosa M. Diaz
JANNEY MONTGOMERY SCOTT LLC
New York, NY 10036
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CRD#: 1240380
RD
Professional summary
Rosa Maria Diaz, who also goes by Rosa M Diaz, is a registered financial professional currently at JANNEY MONTGOMERY SCOTT LLC located in New York, New York.
Rosa is registered as a RR (Registered Representative) and started their career in finance in 1990. Rosa has worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Rosa M Diaz
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Rosa Maria Diaz'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®
NoneExperience
Current
October 2, 2017 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 1166 Avenue Of The Americas 21st Floor, New York, NY 10036RIA
BD
CRD#: 463
New York, NY
Past
April 21, 2017 - October 4, 2017
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
October 13, 2011 - May 8, 2017
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
NEW YORK, NY
Past
March 4, 2009 - November 7, 2011
HFP CAPITAL MARKETS LLC
BD
CRD#: 44351
NEW YORK, NY
Past
February 9, 2008 - March 23, 2009
DAWSON JAMES SECURITIES, INC.
BD
CRD#: 130645
NEW YORK, NY
Past
November 21, 2005 - February 8, 2008
CAPITAL GROWTH FINANCIAL, LLC
BD
CRD#: 41040
NEW YORK, NY
Past
March 9, 2001 - December 16, 2005
ADVEST, INC.
BD
CRD#: 10
HARTFORD, CT
Past
September 5, 1990 - February 27, 2001
W.J. NOLAN & COMPANY, INC.
BD
CRD#: 16465
NEW YORK, NY
Past
July 2, 1990 - September 5, 1990
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
July 2, 1990 - September 5, 1990
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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".
JANNEY MONTGOMERY SCOTT LLC
JANNEY MONTGOMERY SCOTT INC. | PARKER/HUNTER ASSET MANAGEMENT | JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
RIA
Registered Investment Advisory firm - SEC (3/8/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(10/2/2017)
RR
Arizona(10/2/2017)
RR
Arkansas(10/2/2017)
RR
California(10/2/2017)
RR
Colorado(10/2/2017)
RR
Connecticut(10/2/2017)
RR
Delaware(10/2/2017)
RR
District of Columbia(10/2/2017)
RR
Florida(10/2/2017)
RR
Georgia(10/2/2017)
RR
Illinois(10/2/2017)
RR
Indiana(10/2/2017)
RR
Iowa(7/14/2022)
RR
Kansas(7/14/2022)
RR
Kentucky(10/2/2017)
RR
Louisiana(10/2/2017)
RR
Maine(10/2/2017)
RR
Maryland(10/2/2017)
RR
Massachusetts(10/2/2017)
RR
Michigan(10/2/2017)
RR
Minnesota(10/2/2017)
RR
Missouri(10/2/2017)
RR
Montana(7/14/2022)
RR
Nebraska(10/2/2017)
RR
Nevada(10/2/2017)
RR
New Hampshire(10/2/2017)
RR
New Jersey(10/2/2017)
RR
New Mexico(10/2/2017)
RR
New York(10/2/2017)
RR
North Carolina(10/2/2017)
RR
North Dakota(7/14/2022)
RR
Ohio(10/2/2017)
RR
Oklahoma(7/14/2022)
RR
Oregon(10/2/2017)
RR
Pennsylvania(10/2/2017)
RR
Puerto Rico(7/14/2022)
RR
Rhode Island(10/2/2017)
RR
South Carolina(10/2/2017)
RR
South Dakota(7/14/2022)
RR
Tennessee(10/2/2017)
RR
Texas(10/2/2017)
RR
Utah(7/14/2022)
RR
Vermont(10/2/2017)
RR
Virginia(10/2/2017)
RR
Washington(10/2/2017)
RR
West Virginia(7/14/2022)
RR
Wisconsin(10/2/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
JANNEY MONTGOMERY SCOTT LLC
JANNEY MONTGOMERY SCOTT INC. | PARKER/HUNTER ASSET MANAGEMENT | JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
RIA
Registered Investment Advisory firm - SEC (3/8/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
1717 Arch Street, Philadelphia, PA 19103
Mailing Address
1717 Arch Street, Philadelphia, PA 19103
Phone number
(215) 665-6000
Established
Delaware since 08/27/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
2,375
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JUNE PURCHASER LLC | OWNER | |
| CULLEY, JOSEPH DAVID | BANKING PRINCIPAL (BP) | 4275987 |
| DOWNEY, DANEEN ELIZABETH | DEPUTY GENERAL COUNSEL | 4758790 |
| FUSCO, CHRISTOPHER | ROSFP | 5858082 |
| HALL, CAROLINE KATHRYNE | CHIEF COMPLIANCE OFFICER | 6342772 |
| HRICKO, MICHAEL J | CHIEF FINANCIAL OFFICER | 4509746 |
| LEMPA, JESSICA ELLEN | IA CCO | 5276453 |
| MCSHEA, GREGORY BURNS | GENERAL COUNSEL | 2870963 |
| MILLER, ANTHONY MATTHEW | DIRECTOR, PRESIDENT AND CEO | 4597116 |
| MULLAN, DAVID MICHAEL | PRINCIPAL OPERATIONS OFFICER | 2739186 |
| REED, KEVIN JUDE | EXECUTIVE OFFICER | 2105832 |
| RIGGI, BRETT STEPHAN | CHIEF OPERATING OFFICER | 4462496 |
Regulatory assets under management
| Total Number of Accounts | 239,256 |
| AUM (Assets Under Management) | $ 100,795,564,390 |
Disclosures
| Regulatory Event | 54 |
| Arbitration | 66 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/07/2025 | ||
| 03/21/2025 | ||
| 10/09/2024 | ||
| 10/26/2023 |
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.
