Joel A. Diaz

ANCHORED WEALTH

THE WOODLANDS, TX 77380

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CRD#: 4177508

Professional summary

Joel Antonio Diaz is a registered financial advisor currently at ANCHORED WEALTH located in The Woodlands, Texas.

Joel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Joel has worked at 10 firms and has passed the Series 65, Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

1.) TSD CAPITAL, LLC, NON-INVESTMENT RELATED; NON-INVESTMENT RELATED; 44 RED SABLE POINT, THE WOODLANDS, TEXAS 77380; ASSET HOLDING COMPANY; PRESIDENT; 07/2008; 1 HR/MO; 0 HRS/DURING TRADING HRS.; SUBMIT FRANCHISE/OWNERSHIP ANNUAL REPORT. 2) TEXAS GROUP ONE; NON-INVESTMENT RELATED; 44 RED SABLE POINT, THE WOODLANDS, TX 77380; INSURANCE; LICENSED INSURANCE AGENT, 06/2024, 1 HR/MO.; 1 HR DURING TRADING HOURS; INSURANCE PRODUCTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joel Antonio 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

July 8, 2024 - Present

ANCHORED WEALTH

Office #1: 1725 Hughes Landing Blvd. 11th Floor, The Woodlands, TX 77380

RIA

CRD#: 331693

THE WOODLANDS, TX

Past

September 27, 2022 - May 8, 2024

FIRST HORIZON ADVISORS, INC.

CRD#: 17117

Houston, TX

Past

August 30, 2022 - May 8, 2024

FIRST HORIZON ADVISORS, INC.

RIA

CRD#: 17117

Houston, TX

Past

February 25, 2020 - November 24, 2020

ENGRAVE WEALTH PARTNERS, LLC

RIA

CRD#: 289344

THE WOODLANDS, TX

Past

January 2, 2015 - October 31, 2017

CAPITAL ONE INVESTING, LLC

CRD#: 45744

HOUSTON, TX

Past

December 23, 2014 - January 2, 2015

CAPITAL ONE INVESTMENT SERVICES LLC

CRD#: 25658

HOUSTON, TX

Past

October 1, 2008 - January 11, 2013

J.P. MORGAN SECURITIES LLC

CRD#: 79

HOUSTON, TX

Past

November 26, 2003 - October 1, 2008

J.P. MORGAN SECURITIES INC.

CRD#: 18718

HOUSTON, TX

Past

January 31, 2002 - November 12, 2002

J.P. MORGAN SECURITIES OF TEXAS, INC.

CRD#: 17116

HOUSTON, TX

Past

June 19, 2000 - January 10, 2002

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

June 19, 2000 - January 10, 2002

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(7/8/2024)

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: 2/25/2020

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 6/20/2000

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 6/16/2000

General Securities Representative Examination

Current Firm

ANCHORED WEALTH

ANCHORED WEALTH | ANCHORED WEALTH MANAGEMENT LLC

CRD#: 331693 / SEC#:

Texas

Registered Investment Advisory firm - (7/3/2024 Approved)

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Contact information

Main Address

1725 Hughes Landing Blvd. 11th Floor, The Woodlands, TX 77380

Mailing Address

Phone number

(832) 980-5535

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	21
AUM (Assets Under Management)	$ 6,980,002

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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Joel A. Diaz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joel Antonio Diaz's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST HORIZON ADVISORS, INC.

FIRST HORIZON ADVISORS, INC.

ENGRAVE WEALTH PARTNERS, LLC

CAPITAL ONE INVESTING, LLC

CAPITAL ONE INVESTMENT SERVICES LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES INC.

J.P. MORGAN SECURITIES OF TEXAS, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/25/2020

Series 66

Date: 6/20/2000

Series 7

Date: 6/16/2000

Current Firm

ANCHORED WEALTH

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ANCHORED WEALTH

TRUST BUT VERIFY

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