Adan H. Diaz
Professional summary
Adan Herrera Diaz, CFP®, who also goes by Adan H Diaz, Adan Hererra Diaz, Adan Diaz, Adan Diaz Herrera, is a registered financial advisor currently at AMERITAS ADVISORY SERVICES, LLC located in Indianapolis, Indiana and AMERITAS INVESTMENT COMPANY, LLC located in Indianapolis, Indiana.
Adan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Adan has worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Adan Herrera Diaz's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2001
Experience
November 1, 2021 - Present
AMERITAS ADVISORY SERVICES, LLC
Office #1: 3815 River Crossing Pkwy Ste 180, Indianapolis, IN 46240June 30, 2006 - Present
AMERITAS INVESTMENT COMPANY, LLC
Office #1: 3815 River Crossing Pkwy Ste 180, Indianapolis, IN 46240July 11, 2018 - November 1, 2021
AMERITAS INVESTMENT COMPANY, LLC
March 24, 2017 - January 2, 2019
20/20 CAPITAL MANAGEMENT, INC
June 30, 2006 - October 2, 2017
AMERITAS INVESTMENT COMPANY, LLC
June 20, 2006 - June 30, 2006
CARILLON INVESTMENTS, INC.
December 7, 2000 - June 30, 2006
CARILLON INVESTMENTS, INC.
September 9, 1996 - December 14, 2000
QUEST CAPITAL STRATEGIES, INC.
August 13, 1993 - November 9, 1994
EDWARD JONES
Primary Firm SEC Registration
AMERITAS ADVISORY SERVICES, LLC
CRD#: 317245 / SEC#: 801-55153
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/8/2016)
(6/5/2009)
(6/30/2006)
(1/22/2024)
(9/23/2019)
(6/30/2006)
(1/13/2009)
(6/30/2006)
(6/30/2006)
(11/1/2021)
(1/22/2024)
(2/1/2010)
(4/23/2008)
(9/24/2013)
(9/18/2006)
(5/22/2007)
(1/7/2009)
(1/16/2025)
(1/5/2022)
(1/13/2009)
(7/30/2019)
(1/13/2015)
(1/7/2010)
(1/16/2014)
(3/1/2022)
(5/8/2007)
(11/1/2021)
(2/26/2025)
(6/30/2006)
Exams
FINRA
Current Firm
AMERITAS ADVISORY SERVICES, LLC
CRD#: 317245 / SEC#: 801-55153
Contact information
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 41,501 |
| AUM (Assets Under Management) | $ 11,506,548,514 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 07/23/2024 | ||
| 07/27/2023 |
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.
