Julio 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.
Julio Diaz JR, who also goes by Julio Diaz, was a registered financial advisor .
Julio is a previously registered financial advisor and started their career in finance in 1997. Julio had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 7, 2013 - July 7, 2015
CUNA BROKERAGE SERVICES, INC.
April 18, 2013 - July 7, 2015
CUNA BROKERAGE SERVICES, INC.
January 26, 2012 - October 29, 2012
TRUIST INVESTMENT SERVICES, INC.
January 25, 2012 - October 29, 2012
TRUIST INVESTMENT SERVICES, INC.
October 14, 2011 - January 13, 2012
CHASE INVESTMENT SERVICES CORP.
January 23, 2008 - March 23, 2011
CHASE INVESTMENT SERVICES CORP.
January 13, 2004 - January 13, 2012
CHASE INVESTMENT SERVICES CORP.
June 27, 2003 - August 26, 2003
WAMU INVESTMENTS, INC.
June 27, 2002 - August 16, 2002
EDWARD JONES
July 1, 1997 - June 18, 2002
BNY MELLON SECURITIES CORPORATION
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
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
