Carlos D. Diaz
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Carlos Daniel Diaz, who also goes by Chuck Day, Chuck Day Diaz, Chuck Diaz, was a registered financial professional .
Carlos is a previously registered financial professional and started their career in finance in 1986. Carlos had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2012 - October 10, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 6, 2012 - October 10, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
July 8, 2006 - January 6, 2012
INVESTMENT ADVISORS INTERNATIONAL, INC.
July 3, 2002 - August 23, 2006
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 12, 2002 - January 6, 2012
WORLD GROUP SECURITIES, INC.
January 1, 1999 - July 2, 2002
WMA INVESTMENT ADVISORS, INC. (WMAIA)
April 29, 1997 - April 12, 2002
WMA SECURITIES, INC.
March 31, 1995 - December 17, 1996
UNITED SECURITIES ALLIANCE, INC.
April 5, 1993 - March 31, 1995
SENTRA SECURITIES CORPORATION
October 1, 1992 - March 1, 1993
IFG NETWORK SECURITIES, INC.
January 6, 1992 - September 17, 1992
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 22, 1986 - January 20, 1992
PFS INVESTMENTS INC.
Primary Firm SEC Registration
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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.
