ZD
Zoraida C. Diaz
INSIGNEO ADVISORY SERVICES
Coral Gables, FL
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CRD#: 2416544
ZD
Professional summary
Zoraida Caridad Diaz is a registered financial advisor currently at INSIGNEO ADVISORY SERVICES, LLC located in Coral Gables, Florida and INSIGNEO SECURITIES, LLC located in Coral Gables, Florida.
Zoraida is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Zoraida has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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.
DM Wealth Management Group. Owner since 8/5/2020. Investment related. Portfolio creation, asset allocation. 80 hrs/month devoted to this business, 80 hrs/month during trading hours. Insigneo Advisory Services, LLC. Investment related. Financial Advisor since 08/2020. Investment advisory, portfolio creation, asset allocation. 80 hrs. devoted to this business/80 hrs. devoted during trading hours. Advisory fees. Zoraida C. Diaz LLC- Owner, pass through entity for tax and expenses purpose. Start 8/2020, spends 5hrs/mo.
CRS (Client Relationship Summary) - RIA
Click below to view Zoraida Caridad 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 13, 2020 - Present
INSIGNEO ADVISORY SERVICES, LLC
Office #2: 3011 Ponce De Leon Suite 1410, Coral Gables, FL 33134RIA
CRD#: 282589
Coral Gables, FL
Current
August 5, 2020 - Present
INSIGNEO SECURITIES, LLC
Office #1: 3011 Ponce De Leon, Suite 1410, Coral Gables, FL 33134BD
CRD#: 29249
Coral Gables, FL
Past
September 19, 2011 - August 14, 2020
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
MIAMI, FL
Past
September 16, 2011 - August 14, 2020
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
MIAMI, FL
Past
May 29, 2007 - September 26, 2011
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
MIAMI, FL
Past
May 29, 2007 - September 26, 2011
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
MIAMI, FL
Past
May 1, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
RIA
CRD#: 23988
MIAMI, FL
Past
April 18, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
MIAMI, FL
Past
October 9, 2003 - April 11, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
CORAL GABLES, FL
Past
October 3, 2003 - April 11, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
CORAL GABLES, FL
Past
October 1, 2000 - October 6, 2003
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
MIAMI, FL
Past
October 1, 2000 - October 6, 2003
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
November 24, 1993 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
BD
CRD#: 8112
CHARLOTTE, NC
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".
IA
INSIGNEO ADVISORY SERVICES, LLC
1202 WEALTH MANAGEMENT | TRANSATLANTIC INVESTMENT PARTNERS, LLC | THE PRIVATE WEALTH GROUP | THE BAY WEALTH GROUP | TENET GLOBAL ADVISORS | STONE CAPITAL MANAGEMENT | SAILBRIDGE WEALTH MANAGEMENT | RONIN CAPITAL | REL CAPITAL ADVISORS | PRUDENT WEALTH ADVISERS | PLUTUS PRIVATE WEALTH | PHOENIX PRIVATE CLIENT GROUP | MVR WEALTH MANAGEMENT | MVP WEALTH MANAGEMENT | LEGACY ADVISORY GROUP | INSIGNEO ADVISORY SERVICES, LLC | HONEST WEALTH, LLC | HILLGUARD WEALTH MANAGEMENT LLC | GREEN GROVE WEALTH MANAGEMENT, LLC | GLOBAL INVESTOR ADVISORY SERVICES, LLC | GAP WEALTH MANAGEMENT | FORTIS PRIVATE WEALTH ADVISORS | FIORE CAPITAL ADVISOR LLC | EMERALD WEALTH ADVISORS | DM WEALTH MANAGEMENT GROUP | DIAZ-BAZAN ASSET MANAGEMENT LLC | DIAZ-BAZAN ASSET MANAGEMENT | CARRILLO WEALTH MANAGEMENT | BORRELI CAPITAL MANAGEMENT | BAYFRONT GROUP, LLC | AVENTURA PRIVATE WEALTH, LLC | ARS PRIVATE WEALTH MANAGEMENT, LLC | AIRES CAPITAL ADVISORS, LLC | AC GLOBAL INVESTMENT PARTNERS | A PLUS CAPITAL,LLC
CRD#: 282589 / SEC#: 801-107256
RIA
Registered Investment Advisory firm - (2/22/2016 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.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
RR
California(4/28/2021)
IAR
California(4/28/2021)
RR
Florida(8/5/2020)
IAR
Florida(10/13/2020)
RR
Georgia(3/25/2022)
RR
Massachusetts(4/28/2021)
IAR
Massachusetts(5/25/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
IA
INSIGNEO ADVISORY SERVICES, LLC
1202 WEALTH MANAGEMENT | TRANSATLANTIC INVESTMENT PARTNERS, LLC | THE PRIVATE WEALTH GROUP | THE BAY WEALTH GROUP | TENET GLOBAL ADVISORS | STONE CAPITAL MANAGEMENT | SAILBRIDGE WEALTH MANAGEMENT | RONIN CAPITAL | REL CAPITAL ADVISORS | PRUDENT WEALTH ADVISERS | PLUTUS PRIVATE WEALTH | PHOENIX PRIVATE CLIENT GROUP | MVR WEALTH MANAGEMENT | MVP WEALTH MANAGEMENT | LEGACY ADVISORY GROUP | INSIGNEO ADVISORY SERVICES, LLC | HONEST WEALTH, LLC | HILLGUARD WEALTH MANAGEMENT LLC | GREEN GROVE WEALTH MANAGEMENT, LLC | GLOBAL INVESTOR ADVISORY SERVICES, LLC | GAP WEALTH MANAGEMENT | FORTIS PRIVATE WEALTH ADVISORS | FIORE CAPITAL ADVISOR LLC | EMERALD WEALTH ADVISORS | DM WEALTH MANAGEMENT GROUP | DIAZ-BAZAN ASSET MANAGEMENT LLC | DIAZ-BAZAN ASSET MANAGEMENT | CARRILLO WEALTH MANAGEMENT | BORRELI CAPITAL MANAGEMENT | BAYFRONT GROUP, LLC | AVENTURA PRIVATE WEALTH, LLC | ARS PRIVATE WEALTH MANAGEMENT, LLC | AIRES CAPITAL ADVISORS, LLC | AC GLOBAL INVESTMENT PARTNERS | A PLUS CAPITAL,LLC
CRD#: 282589 / SEC#: 801-107256
RIA
Registered Investment Advisory firm - (2/22/2016 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1221 Brickell Avenue 27th Floor, Miami, FL 33131
Mailing Address
Phone number
(305) 373-9000
Established
Firm type
Fiscal year end
# of Employees
197
SEC notice filing (26 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,142 |
| AUM (Assets Under Management) | $ 3,612,629,819 |
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.
