Ruben D. Diaz
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ruben Daniel Diaz was a registered financial professional .
Ruben is a previously registered financial professional and started their career in finance in 1996. Ruben had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 9, 2012 - October 7, 2020
MISSIONSQUARE RETIREMENT
May 17, 2012 - October 7, 2020
MISSIONSQUARE INVESTMENT SERVICES
September 26, 2008 - January 10, 2012
NATIONWIDE INVESTMENT ADVISORS, LLC
September 22, 2008 - December 21, 2011
NATIONWIDE INVESTMENT SERVICES CORPORATION
February 21, 2003 - September 8, 2008
MML INVESTORS SERVICES, LLC
August 21, 2002 - March 11, 2003
AVANTAX ADVISORY SERVICES
September 19, 1996 - March 3, 2003
AVANTAX INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
MISSIONSQUARE RETIREMENT
CRD#: 108783 / SEC#: 801-18273
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MISSIONSQUARE RETIREMENT
CRD#: 108783 / SEC#: 801-18273
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 58,580 |
| AUM (Assets Under Management) | $ 5,959,398,729 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2025 | ||
| 01/27/2025 | ||
| 10/27/2023 | ||
| 01/27/2023 |
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.
