SD
Sergio L. Diaz
SCHWAB WEALTH ADVISORY
Richfield, OH 44286
Some features on this profile are disabled
CRD#: 4428139
SD
Professional summary
Sergio Luis Diaz, CFP®, who also goes by Sergio L Diaz, Sergio Diaz, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Richfield, Ohio and CHARLES SCHWAB & CO., INC. located in Richfield, Ohio.
Sergio is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Sergio has worked at 6 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sergio L Diaz | Sergio 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.
1) Sergio Diaz | Investment Related:No|Real Estate (Non-Agent/Broker)|Sole Proprietor|4/15/2006|Less than 20|0|Resale of sporting event tickets., 2) Sole Proprietor | Investment Related:No|2001 Corning Avenue|Cleveland|OH|44109|USA|Other|Owner|4/1/2007|Less than 20|0|Rental property - collect rent, coordinate / perform general maintenance to the property., 3) Sole proprietor | Investment Related:No|3417 West Blvd|Cleveland|OH|44111|USA|Real Estate (Non-Agent/Broker)|Owner|8/1/2014|Less than 20|0|Rental property - collect rent, coordinate / perform general maintenance to the property.
CRS (Client Relationship Summary) - RIA
Click below to view Sergio Luis 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®
Experience
Current
June 3, 2025 - Present
SCHWAB WEALTH ADVISORY, INC.
Office #1: 4150 Kinross Lakes Pkwy, Richfield, OH 44286RIA
CRD#: 159035
Richfield, OH
Current
June 6, 2008 - Present
CHARLES SCHWAB & CO., INC.
Office #1: 4150 Kinross Lakes Pkwy, Richfield, OH 44286RIA
BD
CRD#: 5393
Richfield, OH
Past
June 9, 2008 - June 4, 2025
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
Cleveland, OH
Past
February 1, 2005 - April 30, 2008
NATIONWIDE SECURITIES, LLC
BD
CRD#: 11173
BROOKLYN, OH
Past
July 9, 2002 - November 23, 2004
THE HUNTINGTON INVESTMENT COMPANY
BD
CRD#: 16986
COLUMBUS, OH
Past
September 17, 2001 - February 19, 2002
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
September 17, 2001 - February 19, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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".
SW
SCHWAB WEALTH ADVISORY, INC.
SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
RIA
Registered Investment Advisory firm - (12/9/2011 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
Alabama(1/3/2025)
RR
Alaska(1/3/2025)
RR
Arizona(1/3/2025)
RR
Arkansas(1/3/2025)
RR
California(1/2/2022)
RR
Colorado(1/3/2025)
RR
Connecticut(1/3/2025)
RR
Delaware(1/3/2025)
RR
District of Columbia(1/3/2025)
RR
Florida(1/3/2025)
RR
Georgia(1/3/2025)
RR
Hawaii(1/3/2025)
RR
Idaho(1/3/2025)
RR
Illinois(1/3/2025)
RR
Indiana(1/3/2025)
RR
Iowa(1/3/2025)
RR
Kansas(1/3/2025)
RR
Kentucky(1/3/2025)
RR
Louisiana(1/3/2025)
RR
Maine(1/3/2025)
RR
Maryland(1/3/2025)
RR
Massachusetts(1/3/2025)
RR
Michigan(1/3/2025)
RR
Minnesota(1/3/2025)
RR
Mississippi(1/3/2025)
RR
Missouri(1/3/2025)
RR
Montana(1/3/2025)
RR
Nebraska(1/3/2025)
RR
Nevada(1/3/2025)
RR
New Hampshire(1/3/2025)
RR
New Jersey(1/3/2025)
RR
New Mexico(1/3/2025)
RR
New York(1/3/2025)
RR
North Carolina(1/3/2025)
RR
North Dakota(1/3/2025)
RR
Ohio(6/9/2008)
IAR
Ohio(6/3/2025)
RR
Oklahoma(1/3/2025)
RR
Oregon(1/3/2025)
RR
Pennsylvania(1/3/2025)
RR
Puerto Rico(1/3/2025)
RR
Rhode Island(1/3/2025)
RR
South Carolina(1/3/2025)
RR
South Dakota(1/3/2025)
RR
Tennessee(1/3/2025)
RR
Texas(1/3/2025)
RR
Utah(1/3/2025)
RR
Vermont(1/3/2025)
RR
Virgin Islands(1/3/2025)
RR
Virginia(1/3/2025)
RR
Washington(1/3/2025)
RR
West Virginia(1/3/2025)
RR
Wisconsin(1/3/2025)
RR
Wyoming(1/3/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
SW
SCHWAB WEALTH ADVISORY, INC.
SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
RIA
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Contact information
Main Address
211 Main Street, San Francisco, CA 94105-1901
Mailing Address
Phone number
(415) 667-7000
Established
Firm type
Fiscal year end
# of Employees
1,042
SEC notice filing (53 States and Territories)
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.
