RD
Rodrigo Diaz
HBKS WEALTH ADVISORS
Warrendale, PA 15086
Some features on this profile are disabled
CRD#: 2387578
RD
Professional summary
Rodrigo Diaz, who also goes by Rod Diaz, is a registered financial advisor currently at HBKS WEALTH ADVISORS located in Warrendale, Pennsylvania and PURSHE KAPLAN STERLING INVESTMENTS located in Warrendale, Pennsylvania.
Rodrigo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Rodrigo has worked at 6 firms and has passed the Series 63, Series 65, Series 7TO, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rod 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.
1) HBKS Wealth Advisors - Investment Related - 200 Pinewood Lane, Ste 204, Warrendale PA 15086 - RIA - Retirement Plan Manager - 160 hours - 160 hours - Perform Duties as the retirement Plan manager.____ 2) EJ Aviation LLC, Not investment related - 185 Wallrose Heights Road, Baden, PA 15005 - Aircraft Rental and Maintenance - Owner, General Partner 08/2008 - 4 hours a month - hours - perform duties as an owner._____ 3)Pittsburgh Retirement Professionals - investment related - 185 Wallrose Heights Road, Baden, PA 15005 - Trad association/information exchange - member of board of directors/treasurer - 07/2011 - on hour a month - 0 hours - perform duties as a board of directors/treasurer._____ 4) Capricorn and Cander LLC - 185 Wallrose Height Road, Baden PA 15005 - Real Estate Holding Company - Owner - 11/2011 - 4 hours a month/0trading hours - Provide Rental property management_____ 5) Purshe Kaplan Sterling Investments - Investment Related - 80 State St, Albany, NY 12207 - Broker Dealer - Registered Rep - 03/2021 - 5 hrs a month/5 during trading - Producing Registered Rep 6) HBK Sorce Insurance LLC - Investment Related - 6603 Summit Dr, Canfield, OH 44406 - Insurance Agency - Insurance Agent - 09/2020 - 5 hrs a month/5 during trading - Insurance sales
CRS (Client Relationship Summary) - RIA
Click below to view Rodrigo 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
October 15, 2019 - Present
HBKS WEALTH ADVISORS
Office #1: 200 Pinewood Lane Suite 204, Warrendale, PA 15086RIA
CRD#: 112139
Warrendale, PA
Current
March 16, 2021 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 200 Pinewood Lane Suite 204, Warrendale, PA 15086BD
CRD#: 35747
Warrendale, PA
Past
January 10, 2013 - October 16, 2019
MCKINLEY CARTER WEALTH SERVICES, INC.
RIA
CRD#: 135184
WEXFORD, PA
Past
September 8, 2011 - January 14, 2013
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
CANONSBURG, PA
Past
September 8, 2011 - January 14, 2013
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
CANONSBURG, PA
Past
June 25, 2005 - September 7, 2011
JANNEY MONTGOMERY SCOTT LLC
RIA
CRD#: 463
PITTSBURGH, PA
Past
June 25, 2005 - September 7, 2011
JANNEY MONTGOMERY SCOTT LLC
BD
CRD#: 463
PITTSBURGH, PA
Past
February 8, 2005 - June 25, 2005
PARKER/HUNTER INCORPORATED
RIA
CRD#: 7324
PITTSBURGH, PA
Past
October 5, 1993 - June 25, 2005
PARKER/HUNTER INCORPORATED
BD
CRD#: 7324
PITTSBURGH, PA
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".
HW
HBKS WEALTH ADVISORS
HBK ADVISORY SERVICES LLC | PRESQUE ISLE CAPITAL MANAGEMENT | LEVEL 3 | HBKS WEALTH ADVISORS | HBK SORCE FINANCIAL LLC | HBK SORCE ADVISORY LLC
CRD#: 112139 / SEC#: 801-60424
RIA
Registered Investment Advisory firm - (7/19/2001 Approved)Ohio
Registered Investment Advisory firm - (11/28/2000 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/29/2001 Terminated)Wyoming
Registered Investment Advisory firm - (11/9/2017 Terminated)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
IAR
Pennsylvania(10/15/2019)
RR
Pennsylvania(4/26/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/23/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
HW
HBKS WEALTH ADVISORS
HBK ADVISORY SERVICES LLC | PRESQUE ISLE CAPITAL MANAGEMENT | LEVEL 3 | HBKS WEALTH ADVISORS | HBK SORCE FINANCIAL LLC | HBK SORCE ADVISORY LLC
CRD#: 112139 / SEC#: 801-60424
RIA
Registered Investment Advisory firm - (7/19/2001 Approved)Ohio
Registered Investment Advisory firm - (11/28/2000 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/29/2001 Terminated)Wyoming
Registered Investment Advisory firm - (11/9/2017 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2725 Colonial Ave, Erie, PA 16506
Mailing Address
Phone number
(814) 836-5776
Established
Firm type
Fiscal year end
# of Employees
109
SEC notice filing (30 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 21,190 |
| AUM (Assets Under Management) | $ 7,661,939,874 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/25/2024 | ||
| 07/28/2023 |
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.
