AR
Arturo J. Rodriguez Diaz
AEGIS CAPITAL
Coral Gables, FL 33134
Some features on this profile are disabled
CRD#: 1301783
AR
Professional summary
Arturo Jesus Rodriguez Diaz, who also goes by Arturo J Diaz Rodriguez, Arturo Rodriguez, Arturo J Rodriguezdiaz, Arturo Jesus Rodriguezdiaz, is a registered financial advisor currently at AEGIS CAPITAL CORP. located in Coral Gables, Florida and RIWM, LLC located in Coral Gables, Florida.
Arturo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Arturo has worked at 15 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Arturo J Diaz Rodriguez | Arturo Rodriguez | Arturo J Rodriguezdiaz | Arturo Jesus Rodriguezdiaz
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.
RIA BUSINESS THROUGH RIWM LLC, 2655 LE JEUNE RD. STE 916 CORAL GABLES, FL 33134
CRS (Client Relationship Summary) - RIA
Click below to view Arturo Jesus Rodriguez Diaz's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Arturo Jesus Rodriguez 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
June 11, 2015 - Present
AEGIS CAPITAL CORP.
Office #1: 2655 Le Jeune Road Suite 916, Coral Gables, FL 33134RIA
BD
CRD#: 15007
Coral Gables, FL
Current
April 17, 2025 - Present
RIWM, LLC
Office #1: 2655 S Le Jeune Rd Suite 916, Coral Gables, FL 33134RIA
CRD#: 160536
CORAL GABLES, FL
Current
June 11, 2015 - Present
AEGIS CAPITAL CORP.
Office #1: 2655 Le Jeune Road Suite 916, Coral Gables, FL 33134RIA
BD
CRD#: 15007
Coral Gables, FL
Past
December 2, 2013 - July 10, 2015
CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC
RIA
CRD#: 131631
MIAMI, FL
Past
August 31, 2012 - July 10, 2015
CAPITAL GUARDIAN, LLC
BD
CRD#: 137919
MIAMI, FL
Past
April 26, 2012 - December 31, 2024
RIWM, LLC
RIA
CRD#: 160536
CORAL GABLES, FL
Past
January 10, 2011 - August 31, 2012
INSIGNEO SECURITIES, LLC
BD
CRD#: 29249
MIAMI, FL
Past
August 2, 2010 - September 6, 2012
REHMANN WEALTH
RIA
CRD#: 123047
MIAMI, FL
Past
April 16, 2010 - January 12, 2011
OSAIC WEALTH, INC.
BD
CRD#: 23131
MIAMI, FL
Past
March 27, 2009 - April 20, 2010
OPPENHEIMER & CO. INC.
RIA
CRD#: 249
MIAMI, FL
Past
March 20, 2009 - March 20, 2009
OPPENHEIMER & CO. INC.
RIA
CRD#: 249
MIAMI, FL
Past
March 20, 2009 - April 20, 2010
OPPENHEIMER & CO. INC.
BD
CRD#: 249
MIAMI, FL
Past
March 14, 2006 - March 16, 2009
STANFORD GROUP COMPANY
RIA
CRD#: 39285
MIAMI, FL
Past
February 24, 2006 - March 16, 2009
STANFORD GROUP COMPANY
BD
CRD#: 39285
MIAMI, FL
Past
February 28, 2003 - February 21, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
MIAMI, FL
Past
February 20, 2003 - February 21, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Past
January 3, 1997 - February 19, 2003
PRUDENTIAL EQUITY GROUP, LLC
RIA
CRD#: 7471
MIAMI, FL
Past
March 21, 1996 - February 19, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
September 25, 1990 - March 5, 1996
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
February 15, 1988 - October 11, 1990
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
February 26, 1987 - February 15, 1988
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
Past
September 24, 1984 - January 27, 1987
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
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".
AC
AEGIS CAPITAL CORP.
AEGIS CAPITAL CORP. | VAST WEALTH ADVISORS | STERNAEGIS VENTURES | STANDARD INTEGRITY WEALTH MANAGEMENT, LLC | SILVESTRI ASSET MANAGEMENT LLC | RIWM LLC | RG BAR INVESTMENT GROUP | PAYNE LEGACY FINANCIAL | PAR FINANCIAL | MEL CAPITAL | MARC JACOBSON & ASSOCIATES | LARCHMONT WEALTH MANAGEMENT | KS CAPITAL MANAGEMENT | FARMER FINANCIAL | DYNAMIC CAPITAL HOLDING | BOGART VALUE PARTNERS | BLUE ANCHOR WEALTH MANAGEMENT | AMERICAN LEGACY WEALTH MANAGEMENT | ALPHA STRATEGIC ADVISORS
CRD#: 15007 / SEC#: 801-71386, 8-31616
RIA
Registered Investment Advisory firm - SEC (5/10/2010 Approved)California
Registered Investment Advisory firm - SEC (5/26/2010 Terminated)Connecticut
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (1/12/2011 Terminated)Florida
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)Georgia
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)Kentucky
Registered Investment Advisory firm - SEC (6/21/2011 Terminated)Louisiana
Registered Investment Advisory firm - SEC (11/5/2014 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (10/28/2014 Terminated)Minnesota
Registered Investment Advisory firm - SEC (11/7/2014 Terminated)Nevada
Registered Investment Advisory firm - SEC (12/5/2014 Terminated)New Jersey
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)New York
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)Virginia
Registered Investment Advisory firm - SEC (2/23/2011 Terminated)Washington
Registered Investment Advisory firm - SEC (9/15/2014 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (9/13/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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
Delaware(6/11/2015)
RR
Florida(7/13/2015)
IAR
Florida(7/13/2015)
RR
Puerto Rico(6/11/2015)
IAR
Puerto Rico(6/11/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 2/25/1993
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
AC
AEGIS CAPITAL CORP.
AEGIS CAPITAL CORP. | VAST WEALTH ADVISORS | STERNAEGIS VENTURES | STANDARD INTEGRITY WEALTH MANAGEMENT, LLC | SILVESTRI ASSET MANAGEMENT LLC | RIWM LLC | RG BAR INVESTMENT GROUP | PAYNE LEGACY FINANCIAL | PAR FINANCIAL | MEL CAPITAL | MARC JACOBSON & ASSOCIATES | LARCHMONT WEALTH MANAGEMENT | KS CAPITAL MANAGEMENT | FARMER FINANCIAL | DYNAMIC CAPITAL HOLDING | BOGART VALUE PARTNERS | BLUE ANCHOR WEALTH MANAGEMENT | AMERICAN LEGACY WEALTH MANAGEMENT | ALPHA STRATEGIC ADVISORS
CRD#: 15007 / SEC#: 801-71386, 8-31616
RIA
Registered Investment Advisory firm - SEC (5/10/2010 Approved)California
Registered Investment Advisory firm - SEC (5/26/2010 Terminated)Connecticut
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (1/12/2011 Terminated)Florida
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)Georgia
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)Kentucky
Registered Investment Advisory firm - SEC (6/21/2011 Terminated)Louisiana
Registered Investment Advisory firm - SEC (11/5/2014 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (10/28/2014 Terminated)Minnesota
Registered Investment Advisory firm - SEC (11/7/2014 Terminated)Nevada
Registered Investment Advisory firm - SEC (12/5/2014 Terminated)New Jersey
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)New York
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)Virginia
Registered Investment Advisory firm - SEC (2/23/2011 Terminated)Washington
Registered Investment Advisory firm - SEC (9/15/2014 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (9/13/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1345 Avenue Of The Americas 27th Floor, New York, NY 10105
Mailing Address
1345 Avenue Of The Americas 27th Floor, New York, NY 10105
Phone number
(212) 813-1010
Established
New York since 01/15/1984
Firm type
Corporation
Fiscal year end
November
Firm Size
Medium
# of Employees
270
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AEGIS CAPITAL HOLDING CORP. | HOLDING COMPANY | |
| EIDE, ROBERT JAY | CEO, SECRETARY, CLO, DIRECTOR | 1015261 |
| FEINMAN, ROBERT STEVEN | CHIEF COMPLIANCE OFFICER | 205708 |
| KOTT, GEORGE GREGORY | CHIEF OPERATING OFFICER | 2876578 |
| MCKENNA, FRANCIS J | MUNICIPAL PRINCIPAL | 4825383 |
| MILLER, JOHN STEVENSON | CO-FINOP | 2139980 |
| POSS, THOMAS CHAMPNEY | CHIEF FINANCIAL OFFICER, CO-FINOP | 2547521 |
Regulatory assets under management
| Total Number of Accounts | 2,760 |
| AUM (Assets Under Management) | $ 1,430,612,106 |
Disclosures
| Regulatory Event | 40 |
| Arbitration | 1 |
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
AEGIS CAPITAL CORP.
CRD#: 15007Coral Gables, FL 33134TRUST BUT VERIFY
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