Roger Diaz

DEARBORN PARTNERS L.L.C.

Manhattan Beach, CA

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CRD#: 2238591

Professional summary

Roger Diaz, CIMA®, who also goes by Rogelio Diaz, Roger Diaz, is a registered financial advisor currently at DEARBORN PARTNERS L.L.C. located in Manhattan Beach, California and QUASAR DISTRIBUTORS, LLC located in Portland, Maine.

Roger is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Roger has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rogelio Diaz | Roger 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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger 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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

July 9, 2020 - Present

DEARBORN PARTNERS L.L.C.

RIA

CRD#: 108147

Manhattan Beach, CA

Current

July 8, 2020 - Present

QUASAR DISTRIBUTORS, LLC

Office #1: 190 Middle Street Suite 301, Portland, ME 04101

CRD#: 103848

Portland, ME

Past

November 25, 2014 - March 7, 2019

DELAWARE CAPITAL MANAGEMENT ADVISERS, INC

RIA

CRD#: 152237

PHILADELPHIA, PA

Past

November 25, 2014 - March 7, 2019

DELAWARE DISTRIBUTORS, L.P.

CRD#: 14232

PHILADELPHIA, PA

Past

March 7, 2003 - November 19, 2014

TCW FUNDS DISTRIBUTORS LLC

CRD#: 16670

LOS ANGELES, CA

Past

January 22, 2003 - November 19, 2014

TCW INVESTMENT MANAGEMENT COMPANY LLC

RIA

CRD#: 106546

LOS ANGELES, CA

Past

November 8, 2001 - November 4, 2002

PUTNAM INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 106629

BOSTON, MA

Past

October 27, 1998 - October 7, 2002

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

BOSTON, MA

Past

December 13, 1996 - September 24, 1998

GLOBAL ATLANTIC DISTRIBUTORS, LLC

CRD#: 8326

HARTFORD, CT

Past

January 26, 1996 - December 4, 1996

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

May 16, 1994 - February 12, 1996

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

March 30, 1993 - May 16, 1994

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

February 3, 1993 - February 25, 1993

REYNOLDS KENDRICK STRATTON, INC.

CRD#: 10414

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".

DEARBORN PARTNERS L.L.C.

CRD#: 108147 / SEC#: 801-54279

RIA

Registered Investment Advisory firm - (4/24/1997 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.

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

Alaska
(7/8/2020)

Arizona
(7/8/2020)

California
(7/8/2020)

IAR

California
(7/9/2020)

Colorado
(7/8/2020)

Hawaii
(7/8/2020)

Idaho
(7/8/2020)

IAR

Illinois
(7/9/2020)

Illinois
(7/13/2020)

Montana
(7/8/2020)

Nevada
(7/8/2020)

Oregon
(7/8/2020)

Utah
(7/8/2020)

Washington
(7/8/2020)

Wyoming
(7/8/2020)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/19/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/3/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/1/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/16/2013

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

DEARBORN PARTNERS L.L.C.

CRD#: 108147 / SEC#: 801-54279

RIA

Registered Investment Advisory firm - (4/24/1997 Approved)

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Contact information

Main Address

200 W Madison St Suite 1950, Chicago, IL 60606

Mailing Address

Phone number

(312) 795-1000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (35 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DEARBORN PARTNERS LLC FORM ADV BROCHURE MARCH 21, 2025 (3/21/2025)

Regulatory assets under management

Total Number of Accounts	2,837
AUM (Assets Under Management)	$ 3,533,103,194

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.

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Advisor Monitoring

Firm Stability Insights

Roger Diaz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

QUASAR DISTRIBUTORS, LLC

DELAWARE CAPITAL MANAGEMENT ADVISERS, INC

DELAWARE DISTRIBUTORS, L.P.

TCW FUNDS DISTRIBUTORS LLC

TCW INVESTMENT MANAGEMENT COMPANY LLC

PUTNAM INVESTMENT MANAGEMENT, LLC

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

GLOBAL ATLANTIC DISTRIBUTORS, LLC

MORGAN STANLEY DW INC.

CITIGROUP GLOBAL MARKETS INC.

PRUDENTIAL EQUITY GROUP, LLC

REYNOLDS KENDRICK STRATTON, INC.

Primary Firm SEC Registration

DEARBORN PARTNERS L.L.C.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/19/2001

Series 63

Date: 2/3/1993

SIE

Date: 10/1/2018

Series 7

Date: 2/1/1993

Series 24

Date: 10/16/2013

FINRA

Current Firm

DEARBORN PARTNERS L.L.C.

Contact information

SEC notice filing (35 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DEARBORN PARTNERS L.L.C.

TRUST BUT VERIFY

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