Omar E. Diaz

PPHB SECURITIES LP

Houston, TX 77056

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CRD#: 3177522

Professional summary

Omar E Diaz, who also goes by Omar Diaz, is a registered financial professional 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.

Question & Answer

Are you a "fiduciary"?

Aliases

Omar 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 Omar E 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®

None

Experience

Current

February 26, 2025 - Present

PPHB SECURITIES LP

Office #1: 1885 St. James Place Suite 900, Houston, TX 77056

CRD#: 132074

Houston, TX

Past

January 5, 2024 - February 6, 2025

JORDAN, KNAUFF & COMPANY

CRD#: 129725

CHICAGO, IL

Past

April 21, 2021 - December 31, 2023

BRIDGE CAPITAL ASSOCIATES, INC.

CRD#: 143475

Chicago, IL

Past

March 21, 2017 - September 1, 2020

SEAPORT GLOBAL SECURITIES LLC

CRD#: 116270

CHICAGO, IL

Past

April 20, 2011 - April 14, 2017

DRESNER INVESTMENT SERVICES, INC.

CRD#: 35145

CHICAGO, IL

Past

July 19, 2004 - April 22, 2009

HOULIHAN LOKEY CAPITAL, INC.

CRD#: 17708

CHICAGO, IL

Past

July 10, 2002 - May 4, 2004

ACQUEST SECURITIES LLC

CRD#: 29047

HOUSTON, TX

Past

February 3, 1999 - November 23, 2001

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

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

Illinois
(7/7/2025)

Texas
(7/8/2025)

Exams

State Security Law Exam

Series 63

Date: 8/17/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 5/12/2011

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 2/2/1999

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

PPHB SECURITIES LP

CRD#: 132074 / SEC#: , 8-66550

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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Contact information

Main Address

1885 St. James Place Suite 900, Houston, TX 77056

Mailing Address

1885 St. James Place Suite 900, Houston, TX 77056

Phone number

(713) 580-2700

Established

Texas since 10/16/2003

Firm type

Partnership

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (2 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

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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Firm Stability Insights

Omar E. Diaz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Omar E Diaz's CRS (Customer Relationship Summary).

Certified licenses

Experience

JORDAN, KNAUFF & COMPANY

BRIDGE CAPITAL ASSOCIATES, INC.

SEAPORT GLOBAL SECURITIES LLC

DRESNER INVESTMENT SERVICES, INC.

HOULIHAN LOKEY CAPITAL, INC.

ACQUEST SECURITIES LLC

J.P. MORGAN SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/17/2002

SIE

Date: 10/1/2018

Series 79

Date: 5/12/2011

Series 7

Date: 2/2/1999

FINRA

Current Firm

PPHB SECURITIES LP

Contact information

FINRA licenses (2 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

PPHB SECURITIES LP

TRUST BUT VERIFY

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