Omar E Diaz
Professional Summary
Omar E Diaz, who also goes by Omar Diaz, is a registered financial advisor currently at PPHB SECURITIES LP located in Houston, Texas. Omar is registered as a RR (Registered Representative) and started their career in finance in 1999. Omar has worked at 8 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Omar Diaz
Similar Advisors
OSAIC WEALTH, INC.
ALLWORTH FINANCIAL, L.P.
POST OAK PRIVATE WEALTH ADVISORS
MARSHALL WEALTH MANAGEMENT, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
OSAIC WEALTH, INC.
ALLWORTH FINANCIAL, L.P.
POST OAK PRIVATE WEALTH ADVISORS
MARSHALL WEALTH MANAGEMENT, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
OSAIC WEALTH, INC.
ALLWORTH FINANCIAL, L.P.
POST OAK PRIVATE WEALTH ADVISORS
MARSHALL WEALTH MANAGEMENT, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
OSAIC WEALTH, INC.
ALLWORTH FINANCIAL, L.P.
POST OAK PRIVATE WEALTH ADVISORS
MARSHALL WEALTH MANAGEMENT, LLC
Years of Experience
27 years in the financial services industry
Current & Past Employments
Similar Advisors
OSAIC WEALTH, INC.
ALLWORTH FINANCIAL, L.P.
POST OAK PRIVATE WEALTH ADVISORS
MARSHALL WEALTH MANAGEMENT, LLC
Current Firm
PPHB SECURITIES LP
Contact Information
Main Address
1885 St. James Place Suite 900, Houston, TX 77056Mailing Address
1885 St. James Place Suite 900, Houston, TX 77056Phone Number
(713) 580-2700Established
Texas since 10/16/2003Firm Type
PartnershipFiscal Year End
DecemberFirm Size
SmallFINRA licenses (3 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROWN, RAYMOND LLOYD JR. | LIMITED PARTNER/REGISTERED PRINCIPAL | 4144874 |
| BUCHANAN, JOE BLAKE | LIMITED PARTNER/REGISTERED PRINCIPAL | 5095659 |
| HOEPFL, JOSEPH ALLEN | CHIEF COMPLIANCE OFFICER/LIMITED PARTNER/REGISTERED PRINCIPAL | 2950986 |
| PARKS PATON HOEPFL & BROWN, LLC | GENERAL PARTNER | — |
| SCHAPS, MICHAEL ROBERT | FINOP/CFO/PFO/POO | 1892138 |
Similar Advisors
OSAIC WEALTH, INC.
ALLWORTH FINANCIAL, L.P.
POST OAK PRIVATE WEALTH ADVISORS
MARSHALL WEALTH MANAGEMENT, LLC
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.
Similar Advisors
OSAIC WEALTH, INC.
ALLWORTH FINANCIAL, L.P.
POST OAK PRIVATE WEALTH ADVISORS
MARSHALL WEALTH MANAGEMENT, LLC
State Registrations and Notice Filings
(7/7/2025)
(7/8/2025)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed May 2011About the Series 79 examSRO Registrations
Similar Advisors
OSAIC WEALTH, INC.
ALLWORTH FINANCIAL, L.P.
POST OAK PRIVATE WEALTH ADVISORS
MARSHALL WEALTH MANAGEMENT, LLC
CRS (Client Relationship Summary) - BD
Click below to view Omar E Diaz's CRS (Customer Relationship Summary).
Similar Advisors
OSAIC WEALTH, INC.
ALLWORTH FINANCIAL, L.P.
POST OAK PRIVATE WEALTH ADVISORS
MARSHALL WEALTH MANAGEMENT, LLC
