Pedro U. Diaz

PARK AVENUE SECURITIES LLC

Gilbert, AZ 85234

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CRD#: 2487078

Professional summary

Pedro Ubaldo Diaz, who also goes by Pedro Diaz, Pete Diaz, Pedro Ubaldo Diaz, is a registered financial professional currently at PARK AVENUE SECURITIES LLC located in Gilbert, Arizona.

Pedro is registered as a RR (Registered Representative) and started their career in finance in 1994. Pedro has worked at 14 firms and has passed the Series 63, Series 66, Series 6TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Pedro Diaz | Pete Diaz | Pedro Ubaldo 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) - BD

Click below to view Pedro Ubaldo 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®

None

Experience

Current

October 21, 2025 - Present

PARK AVENUE SECURITIES LLC

Office #1: 366 N. Gilbert Road Suite 204, Gilbert, AZ 85234

RIA

CRD#: 46173

Gilbert, AZ

Past

December 2, 2022 - November 3, 2023

VANGUARD MARKETING CORPORATION

CRD#: 7452

SCOTTSDALE, AZ

Past

March 7, 2008 - December 19, 2014

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

PHOENIX, AZ

Past

March 7, 2008 - December 19, 2014

CHARLES SCHWAB & CO., INC.

CRD#: 5393

PHOENIX, AZ

Past

December 18, 2006 - February 21, 2008

TD AMERITRADE, INC.

RIA

CRD#: 7870

SCOTTSDALE, AZ

Past

December 18, 2006 - February 21, 2008

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

SCOTTSDALE, AZ

Past

October 17, 2006 - February 21, 2008

TD AMERITRADE, INC.

CRD#: 7870

SCOTTSDALE, AZ

Past

October 14, 2005 - September 12, 2006

USALLIANZ SECURITIES, INC.

CRD#: 40875

SCOTTSDALE, AZ

Past

May 16, 2005 - October 3, 2005

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

January 14, 2005 - May 6, 2005

BBVA COMPASS INVESTMENT SOLUTIONS, INC

CRD#: 17086

BIRMINGHAM, AL

Past

March 4, 2003 - January 19, 2005

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

December 9, 1999 - December 31, 2002

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

December 4, 1998 - October 19, 1999

INVESTACORP, INC.

CRD#: 7684

MIAMI, FL

Past

April 3, 1997 - December 10, 1998

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

May 7, 1996 - August 22, 1996

PUBLIC EMPLOYEES EQUITIES SERVICES COMPANY

CRD#: 7315

PALM BEACH GARDENS, FL

Past

August 3, 1995 - April 23, 1996

CINCINNATI ANALYSTS, INC.

CRD#: 5478

CINCINNATI, OH

Past

August 31, 1994 - December 19, 1994

AMERICAN CLASSIC SECURITIES, INC.

CRD#: 25399

PONTE VEDRA, FL

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".

PARK AVENUE SECURITIES LLC

CRD#: 46173 / SEC#: 801-58108, 8-51324

RIA

Registered Investment Advisory firm - SEC (11/13/2000 Approved)

District of Columbia

Registered Investment Advisory firm - SEC (1/2/2002 Terminated)

Broker-Dealer Firm Regulated by FINRA (New York district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Arizona
(10/27/2025)

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.

Exams

State Security Law Exam

Series 63

Date: 12/28/2022

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 11/28/2006

Uniform Combined State Law Examination

General Industry/Product Exam

Series 6TO

Date: 12/2/2022

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 8/27/2022

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/27/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/26/1994

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

PARK AVENUE SECURITIES LLC

CRD#: 46173 / SEC#: 801-58108, 8-51324

RIA

Registered Investment Advisory firm - SEC (11/13/2000 Approved)

District of Columbia

Registered Investment Advisory firm - SEC (1/2/2002 Terminated)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

10 Hudson Yards, New York, NY 10001

Mailing Address

10 Hudson Yards, New York, NY 10001

Phone number

+1 (888) 600-4667

Established

Delaware since 08/20/1998

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

1,984

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PAS FORM ADV REVISED FIRM BROCHURE (3/19/2025)

VESTWISE (3/19/2025)

PARK AVENUE UMA/SMA SELECT AND STRATEGIST SELECT/STRATEGIST SELECT PLUS (3/19/2025)

PARK AVENUE SIGNATURE PORTFOLIO (3/19/2025)

Direct owners and executive officers

Name	Position	CRD#
THE GUARDIAN LIFE INSURANCE COMPANY OF AMERICA	OWNER
BOGGS, ALLEN WARREN	HEAD OF PRODUCT & SUPERVISION	4751363
CASWELL, MARIANNE GRACE	PRESIDENT AND ELECTED MEMBER	6424651
DAVARASHVILI, KATE	FINOP/PRINCIPAL FINANCIAL OFFICER.	5642325
DESROCHERS, CARL	ELECTED MEMBER	7807194
GALLO, JOSEPH MICHAEL	CHIEF COMPLIANCE OFFICER	3108044
HERGAN, JOSHUA NEIL	GENERAL COUNSEL	4572643
LESINA, LEYLA ADA	ELECTED MEMBER	3004323
MAHER, CARLY PRITCHARD	HEAD OF WEALTH MANAGEMENT STRATEGY AND BUSINESS OPERATIONS	4003223
PERRY, MICHAEL ANDREW	ELECTED MEMBER	2688179
RYNIKER, MICHAEL JOHN	PRINCIPAL OPERATIONS OFFICER	2474604

Regulatory assets under management

Total Number of Accounts	71,074
AUM (Assets Under Management)	$ 14,998,852,974

Disclosures

Regulatory Event	20
Arbitration	3

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/25/2025	Cover Page	Report
01/22/2025	Cover Page	Report
11/15/2023	Cover Page	Report

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

Pedro U. Diaz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

VANGUARD MARKETING CORPORATION

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

USALLIANZ SECURITIES, INC.

OSAIC WEALTH, INC.

BBVA COMPASS INVESTMENT SOLUTIONS, INC

BANC ONE SECURITIES CORPORATION

CHARLES SCHWAB & CO., INC.

INVESTACORP, INC.

MORGAN STANLEY DW INC.

PUBLIC EMPLOYEES EQUITIES SERVICES COMPANY

CINCINNATI ANALYSTS, INC.

AMERICAN CLASSIC SECURITIES, INC.

Primary Firm SEC Registration

PARK AVENUE SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/28/2022

Series 66

Date: 11/28/2006

Series 6TO

Date: 12/2/2022

SIE

Date: 8/27/2022

Series 7

Date: 6/27/1997

Series 6

Date: 8/26/1994

FINRA

Current Firm

PARK AVENUE SECURITIES LLC

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

Disclosures

Accountant surprise examination report

Red Flags

Company Information

PARK AVENUE SECURITIES LLC

TRUST BUT VERIFY

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