John L. Diaz

PREMIER WEALTH ADVISORS

New York, NY 10018

Some features on this profile are disabled

CRD#: 1327431

Professional summary

John Louis Diaz, CFP® is a registered financial advisor currently at PREMIER WEALTH ADVISORS, LLC located in New York, New York.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. John has worked at 12 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 3, Series 7, Series 51, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) Premier Wealth Advisors LLC; Managing member; DBA; Start date 3/27/2013; 160 hours per month. 2) SURFRIDER FOUNDATION NY CITY CHAPTER; TREASURER; NON-PROFIT ORGANIZATION; START DATE 02/02/2015; 8 HOURS PER MONTH. 3) Premier Financial Advisors Inc; RIA; Start date 03/12/2004 4) PREMIER FINANCIAL SERVICES, INC.; PRESIDENT; HOLDING COMPANY; START DATE: 1/1/1992; 8 HOURS PER MONTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Louis Diaz's CRS (Customer Relationship Summary).

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^®

Certified Financial Planner

Start date: 1994

Experience

Current

January 21, 2015 - Present

PREMIER WEALTH ADVISORS, LLC

Office #1: 1411 Broadway 16th Floor, New York, NY 10018

RIA

CRD#: 120358

New York, NY

Past

September 8, 2022 - November 27, 2024

CETERA ADVISORS LLC

CRD#: 10299

NEW YORK, NY

Past

November 12, 2020 - November 27, 2024

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

NEW YORK, NY

Past

July 2, 2012 - November 12, 2020

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

New York, NY

Past

April 23, 2004 - July 2, 2012

FIRST ALLIED SECURITIES, INC.

RIA

CRD#: 32444

NEW YORK, NY

Past

March 26, 2004 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

NEW YORK, NY

Past

August 1, 2003 - April 12, 2004

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

February 12, 1993 - July 23, 2003

NATHAN & LEWIS SECURITIES, INC.

RIA

CRD#: 8503

NEW YORK, NY

Past

June 17, 1992 - August 1, 2003

NATHAN & LEWIS SECURITIES, INC.

CRD#: 8503

NEW YORK, NY

Past

October 24, 1990 - June 23, 1992

NORTHEAST BROKERAGE SERVICES CORPORATION

CRD#: 26601

Past

March 12, 1990 - October 24, 1990

WAMU INVESTMENTS, INC.

CRD#: 599

IRVINE, CA

Past

May 12, 1987 - January 18, 1990

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

April 1, 1985 - June 10, 1987

BROOKS WEINGER ROBBINS & LEEDS INC.

CRD#: 14156

Past

December 18, 1984 - March 26, 1985

ALLIED CAPITAL GROUP, INC.

CRD#: 13146

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".

PREMIER WEALTH ADVISORS, LLC

PREMIER FINANCIAL ADVISORS, INC. | PREMIER WEALTH ADVISORS, LLC

CRD#: 120358 / SEC#: 801-78204

RIA

Registered Investment Advisory firm - (6/27/2013 Approved)

New York

Registered Investment Advisory firm - (6/28/2013 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

New Jersey
(1/21/2015)

IAR

New York
(9/7/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/18/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/19/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 7/13/1989

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 12/15/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 51

Date: 9/14/2006

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 8/23/2006

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 4/1/1993

General Securities Principal Examination

Current Firm

PREMIER WEALTH ADVISORS, LLC

PREMIER FINANCIAL ADVISORS, INC. | PREMIER WEALTH ADVISORS, LLC

CRD#: 120358 / SEC#: 801-78204

RIA

Registered Investment Advisory firm - (6/27/2013 Approved)

New York

Registered Investment Advisory firm - (6/28/2013 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1411 Broadway 16th Floor, New York, NY 10018

Mailing Address

Phone number

(212) 752-4343

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE (6/25/2025)

Regulatory assets under management

Total Number of Accounts	754
AUM (Assets Under Management)	$ 523,135,264

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/31/2024	Cover Page	Report

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.

Similar Advisors

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

John L. Diaz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Louis Diaz's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA INVESTMENT ADVISERS LLC

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

WALNUT STREET SECURITIES, INC.

NATHAN & LEWIS SECURITIES, INC.

NATHAN & LEWIS SECURITIES, INC.

NORTHEAST BROKERAGE SERVICES CORPORATION

WAMU INVESTMENTS, INC.

MORGAN STANLEY DW INC.

BROOKS WEINGER ROBBINS & LEEDS INC.

ALLIED CAPITAL GROUP, INC.

Primary Firm SEC Registration

PREMIER WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/18/1999

Series 63

Date: 2/19/1985

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 7/13/1989

Series 7

Date: 12/15/1984

Series 51

Date: 9/14/2006

Series 4

Date: 8/23/2006

Series 24

Date: 4/1/1993

Current Firm

PREMIER WEALTH ADVISORS, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

PREMIER WEALTH ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors