Anthony Diaz

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CRD#: 4131948

Professional summary

Anthony Diaz was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Anthony is a previously registered financial advisor and started their career in finance in 2000. Prior to being barred, Anthony had worked at 14 firms, which includes IBN FINANCIAL SERVICES INC., SANDLAPPER WEALTH MANAGEMENT LLC, SANDLAPPER SECURITIES LLC, SB ADVISORY LLC, IFS SECURITIES, KOVACK ADVISORS INC., KOVACK SECURITIES INC., MATRIX CAPITAL GROUP INC., SII INVESTMENTS INC., FIRST ALLIED SECURITIES INC., ROUND HILL SECURITIES INC., RAYMOND JAMES FINANCIAL SERVICES INC., EDWARD JONES, INSIGHT SECURITIES INC..

Question & Answer

Are you a "fiduciary"?

Aliases

Anthony Diaz Mr.

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 11, 2014 - April 23, 2015

IBN FINANCIAL SERVICES, INC.

RIA

CRD#: 42360

SCOTRUN, PA

Past

September 27, 2012 - April 23, 2015

IBN FINANCIAL SERVICES, INC.

CRD#: 42360

SCOTRUN, PA

Past

August 6, 2012 - September 20, 2012

SANDLAPPER WEALTH MANAGEMENT, LLC

RIA

CRD#: 164443

GREENVILLE, SC

Past

March 29, 2012 - September 19, 2012

SANDLAPPER SECURITIES, LLC

CRD#: 137906

SCOTRUN, PA

Past

February 10, 2012 - March 8, 2012

SB ADVISORY, LLC

RIA

CRD#: 154680

SCRANTON, PA

Past

August 29, 2011 - March 8, 2012

IFS SECURITIES

CRD#: 40375

SCOTRUN, PA

Past

April 12, 2011 - August 18, 2011

KOVACK ADVISORS, INC.

RIA

CRD#: 140808

FT. LAUDERDALE, FL

Past

April 5, 2011 - August 18, 2011

KOVACK SECURITIES INC.

CRD#: 44848

SCOTRUN, PA

Past

March 9, 2010 - April 6, 2011

MATRIX CAPITAL GROUP, INC.

CRD#: 33364

NEW YORK, NY

Past

April 1, 2009 - March 3, 2010

SII INVESTMENTS, INC.

RIA

CRD#: 2225

SCOTRUN, PA

Past

March 31, 2009 - March 3, 2010

SII INVESTMENTS, INC.

CRD#: 2225

SCOTRUN, PA

Past

November 7, 2007 - April 22, 2009

FIRST ALLIED SECURITIES, INC.

RIA

CRD#: 32444

SCOTRUN, PA

Past

June 13, 2005 - April 22, 2009

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SCOTRUN, PA

Past

December 6, 2004 - June 13, 2005

ROUND HILL SECURITIES, INC.

CRD#: 35223

ALAMO, CA

Past

December 16, 2002 - December 9, 2004

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

July 25, 2000 - December 5, 2002

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

Past

March 13, 2000 - June 30, 2000

INSIGHT SECURITIES, INC.

CRD#: 5611

HIGHLAND PARK, IL

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".

IBN FINANCIAL SERVICES, INC.

IBN FINANCIAL SERVICES, INC | M. ROBERT BURTON ASSOCIATES, INC. | IBN FINANCIAL SERVICES, INC.

CRD#: 42360 / SEC#: 801-111848, 8-49815

RIA

Registered Investment Advisory firm - SEC (10/12/2017 Approved)

Kentucky

Registered Investment Advisory firm - SEC (2/1/2018 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (2/1/2018 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (2/28/2018 Terminated)

New York

Registered Investment Advisory firm - SEC (7/19/2021 Terminated)

Oregon

Registered Investment Advisory firm - SEC (8/12/2021 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (2/5/2018 Terminated)

Texas

Registered Investment Advisory firm - SEC (2/1/2018 Terminated)

Broker-Dealer Firm Regulated by FINRA (Woodbridge 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.

Visual representation of state registrations

This advisor is not registered in any state.

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

IAR

Series 65

Date: 12/8/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/26/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/23/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/24/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/10/2000

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 9

Date: 3/29/2003

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 2/24/2003

General Securities Sales Supervisor - General Module Examination

Current Firm

IBN FINANCIAL SERVICES, INC.

IBN FINANCIAL SERVICES, INC | M. ROBERT BURTON ASSOCIATES, INC. | IBN FINANCIAL SERVICES, INC.

CRD#: 42360 / SEC#: 801-111848, 8-49815

RIA

Registered Investment Advisory firm - SEC (10/12/2017 Approved)

Kentucky

Registered Investment Advisory firm - SEC (2/1/2018 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (2/1/2018 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (2/28/2018 Terminated)

New York

Registered Investment Advisory firm - SEC (7/19/2021 Terminated)

Oregon

Registered Investment Advisory firm - SEC (8/12/2021 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (2/5/2018 Terminated)

Texas

Registered Investment Advisory firm - SEC (2/1/2018 Terminated)

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

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Contact information

Main Address

404 Old Liverpool Rd, Liverpool, NY 13088

Mailing Address

P.o. Box 2365, Liverpool, NY 13089

Phone number

(315) 652-4426

Established

New York since 12/15/1995

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (18 States and Territories)

FINRA licenses (50 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

RICHARD J CARLESCO JR (3/21/2025)

IBN FN PART 2A BROCHURE (3/21/2025)

CHRIS AVERY FORM 2B (3/21/2025)

FRED KAHN FORM 2B (3/21/2025)

MARK LEVITCH FORM 2B (3/21/2025)

SUSAN LOHMILLER FORM 2B (3/21/2025)

PATRICK DELANEY FORM 2B (3/21/2025)

RALPH PLINE FORM 2B (3/21/2025)

DANIEL RIPLEY ADV PART 2B (3/21/2025)

DEAN MACRIS FORM 2B (3/21/2025)

SAMUEL BIANCHI FORM 2B (3/21/2025)

ELLIOT SCHRAG FORM 2B (3/21/2025)

HARJIT ARORA PHD FORM 2B (3/21/2025)

PETER BIFFARELLA FORM 2B (3/21/2025)

SCOTT CURTIS FORM 2B (3/21/2025)

THERESA LYNN ELLIS FORM 2B (3/21/2025)

TODD GLENN FORM 2B (3/21/2025)

CHAD COLBERT FORM 2B (3/21/2025)

STEVE YAZELL FORM 2B (3/21/2025)

F. WILLIAM LIBARDONI JR. FORM 2B (3/21/2025)

ERIK LENTINEN FORM 2B (3/21/2025)

JOHN MAHSHIE FORM 2B (3/21/2025)

R STEVENS FORM 2B (3/21/2025)

HOWARD MODELL- FORM 2B BROCHURE (3/21/2025)

LOREN WOOD FORM 2B- BROCHURE (3/21/2025)

ROBERT D'AGOSTA FORM 2B- BROCHURE (3/21/2025)

ANDREW CAMARDA- FORM 2B BROCHURE (3/21/2025)

KRISTINA SINITSIN FORM 2B- BROCHURE (3/21/2025)

ROBERT TACKABURY FORM 2B- BROCHURE (3/21/2025)

ROBERT STAR FORM 2B- BROCHURE (3/21/2025)

ROBERT MOSKWA FORM 2B (3/21/2025)

Direct owners and executive officers

Name	Position	CRD#
CARLESCO, RICHARD JAMES JR	CHIEF EXECUTIVE OFFICER, CHEIF FINANCIAL OFFICER	2135988
AVERY, CHRISTOPHER RYAN	CHIEF OPERATIONS OFFICER	4706653
EVANS, TIMOTHY EDWARD	EQUITY PARTNER	6259284
BODKIN, GREGORY PATRICK	CHIEF COMPLIANCE OFFICER	3008389

Regulatory assets under management

Total Number of Accounts	768
AUM (Assets Under Management)	$ 180,458,175

Disclosures

Regulatory Event

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

Anthony Diaz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

IBN FINANCIAL SERVICES, INC.

SANDLAPPER WEALTH MANAGEMENT, LLC

SANDLAPPER SECURITIES, LLC

SB ADVISORY, LLC

IFS SECURITIES

KOVACK ADVISORS, INC.

KOVACK SECURITIES INC.

MATRIX CAPITAL GROUP, INC.

SII INVESTMENTS, INC.

SII INVESTMENTS, INC.

FIRST ALLIED SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

ROUND HILL SECURITIES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

EDWARD JONES

INSIGHT SECURITIES, INC.

Primary Firm SEC Registration

IBN FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/8/2003

Series 63

Date: 8/26/2000

SIE

Date: 4/23/2015

Series 7

Date: 7/24/2000

Series 6

Date: 3/10/2000

Series 9

Date: 3/29/2003

Series 10

Date: 2/24/2003

Current Firm

IBN FINANCIAL SERVICES, INC.

Contact information

SEC notice filing (18 States and Territories)

FINRA licenses (50 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

IBN FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

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