SD
Salvador R. Diaz-bazan
INSIGNEO ADVISORY SERVICES
BOSTON, MA 02115
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CRD#: 4195839
SD
Professional summary
Salvador Roberto Diaz-bazan is a registered financial advisor currently at INSIGNEO ADVISORY SERVICES, LLC located in Boston, Massachusetts and INSIGNEO SECURITIES, LLC located in Boston, Massachusetts.
Salvador is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Salvador has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 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. Owner of DBA Diaz-Bazan Asset Management LLC, based in Boston, MA at 177 Huntington Avenue, 17th Floor, Boston MA 02115. 2. My wife and I are investors in a bilingual daycare located in Boston Nido Daycare, together we own 15% of the business; Nido Daycare, spends no hours in this OBA. 3. Insigneo Advisory Services, affiliated RIA as Financial Advisor in Asset Allocation DBA Diaz-Bazan Asset Management LLC and spends approx. 8 hrs./monthly. 4. Loft 89, LLC: LLC established for personal real estate investments. 5. Bonds Bio Systems Corporation_ Contract research organization in Boston MA. They company tests new pharmaceutical drugs for toxicity in mini organs (organoids). The company is non-investment related and works with bio pharmaceutical companies in Boston to help them test drugs and develops new drug testing models. Position- Owner (25%)/CFO. Duties include- helping the company manage is cashflow to plan for payroll costs and expenditures for company expansion (new hires and new machinesy) 8hrs monthly devoted to this business; zero hrs. during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Salvador Roberto Diaz-bazan'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®
NoneExperience
Current
January 7, 2020 - Present
INSIGNEO ADVISORY SERVICES, LLC
Office #1: 177 Huntington Avenue Suite 1901, Boston, MA 02115RIA
CRD#: 282589
BOSTON, MA
Current
December 9, 2019 - Present
INSIGNEO SECURITIES, LLC
Office #1: 177 Huntington Avenue, Suite 1700, Boston, MA 02115BD
CRD#: 29249
BOSTON, MA
Past
September 11, 2017 - December 3, 2019
INSIGHT SECURITIES, INC.
RIA
CRD#: 5611
Boston, MA
Past
September 25, 2015 - December 3, 2019
INSIGHT SECURITIES, INC.
BD
CRD#: 5611
Boston, MA
Past
September 8, 2015 - December 9, 2019
DIAZ-BAZAN ASSET MANAGEMENT LLC
RIA
CRD#: 269884
BOSTON, MA
Past
June 20, 2000 - June 26, 2015
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
BOSTON, MA
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".
IA
INSIGNEO ADVISORY SERVICES, LLC
1202 WEALTH MANAGEMENT | TRANSATLANTIC INVESTMENT PARTNERS, LLC | THE PRIVATE WEALTH GROUP | THE BAY WEALTH GROUP | TENET GLOBAL ADVISORS | STONE CAPITAL MANAGEMENT | SAILBRIDGE WEALTH MANAGEMENT | RONIN CAPITAL | REL CAPITAL ADVISORS | PRUDENT WEALTH ADVISERS | PLUTUS PRIVATE WEALTH | PHOENIX PRIVATE CLIENT GROUP | MVR WEALTH MANAGEMENT | MVP WEALTH MANAGEMENT | LEGACY ADVISORY GROUP | INSIGNEO ADVISORY SERVICES, LLC | HONEST WEALTH, LLC | HILLGUARD WEALTH MANAGEMENT LLC | GREEN GROVE WEALTH MANAGEMENT, LLC | GLOBAL INVESTOR ADVISORY SERVICES, LLC | GAP WEALTH MANAGEMENT | FORTIS PRIVATE WEALTH ADVISORS | FIORE CAPITAL ADVISOR LLC | EMERALD WEALTH ADVISORS | DM WEALTH MANAGEMENT GROUP | DIAZ-BAZAN ASSET MANAGEMENT LLC | DIAZ-BAZAN ASSET MANAGEMENT | CARRILLO WEALTH MANAGEMENT | BORRELI CAPITAL MANAGEMENT | BAYFRONT GROUP, LLC | AVENTURA PRIVATE WEALTH, LLC | ARS PRIVATE WEALTH MANAGEMENT, LLC | AIRES CAPITAL ADVISORS, LLC | AC GLOBAL INVESTMENT PARTNERS | A PLUS CAPITAL,LLC
CRD#: 282589 / SEC#: 801-107256
RIA
Registered Investment Advisory firm - (2/22/2016 Approved)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.RR
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
RR
Florida(12/9/2019)
IAR
Florida(1/7/2020)
RR
Massachusetts(12/9/2019)
IAR
Massachusetts(3/4/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
IA
INSIGNEO ADVISORY SERVICES, LLC
1202 WEALTH MANAGEMENT | TRANSATLANTIC INVESTMENT PARTNERS, LLC | THE PRIVATE WEALTH GROUP | THE BAY WEALTH GROUP | TENET GLOBAL ADVISORS | STONE CAPITAL MANAGEMENT | SAILBRIDGE WEALTH MANAGEMENT | RONIN CAPITAL | REL CAPITAL ADVISORS | PRUDENT WEALTH ADVISERS | PLUTUS PRIVATE WEALTH | PHOENIX PRIVATE CLIENT GROUP | MVR WEALTH MANAGEMENT | MVP WEALTH MANAGEMENT | LEGACY ADVISORY GROUP | INSIGNEO ADVISORY SERVICES, LLC | HONEST WEALTH, LLC | HILLGUARD WEALTH MANAGEMENT LLC | GREEN GROVE WEALTH MANAGEMENT, LLC | GLOBAL INVESTOR ADVISORY SERVICES, LLC | GAP WEALTH MANAGEMENT | FORTIS PRIVATE WEALTH ADVISORS | FIORE CAPITAL ADVISOR LLC | EMERALD WEALTH ADVISORS | DM WEALTH MANAGEMENT GROUP | DIAZ-BAZAN ASSET MANAGEMENT LLC | DIAZ-BAZAN ASSET MANAGEMENT | CARRILLO WEALTH MANAGEMENT | BORRELI CAPITAL MANAGEMENT | BAYFRONT GROUP, LLC | AVENTURA PRIVATE WEALTH, LLC | ARS PRIVATE WEALTH MANAGEMENT, LLC | AIRES CAPITAL ADVISORS, LLC | AC GLOBAL INVESTMENT PARTNERS | A PLUS CAPITAL,LLC
CRD#: 282589 / SEC#: 801-107256
RIA
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Contact information
Main Address
1221 Brickell Avenue 27th Floor, Miami, FL 33131
Mailing Address
Phone number
(305) 373-9000
Established
Firm type
Fiscal year end
# of Employees
197
SEC notice filing (26 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,142 |
| AUM (Assets Under Management) | $ 3,612,629,819 |
Red Flags
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Company Information
INSIGNEO ADVISORY SERVICES, LLC
CRD#: 282589Boston, MA 02115TRUST BUT VERIFY
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