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RD

Richard Diaz

MD ADVICE FINANCIAL
HOLT, MI 48842
Some features on this profile are disabled
CRD#: 4455758
RD

Professional summary

Richard Diaz JR. is a registered financial advisor currently at MD ADVICE FINANCIAL located in Holt, Michigan.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Richard has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Diaz JR.'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

May 31, 2024 - Present

MD ADVICE FINANCIAL

Office #1: 1771 Foxwood Dr, Holt, MI 48842
RIA
CRD#: 329583
HOLT, MI
Past

February 5, 2013 - October 11, 2022

PRINCIPAL SECURITIES, INC.

RIA
CRD#: 1137
Lansing, MI
Past

February 4, 2013 - October 11, 2022

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
Lansing, MI
Past

February 19, 2010 - February 14, 2013

SECURIAN FINANCIAL SERVICES, INC.

RIA
CRD#: 15296
LANSING, MI
Past

October 2, 2003 - February 14, 2013

SECURIAN FINANCIAL SERVICES, INC.

BD
CRD#: 15296
LANSING, MI
Past

September 17, 2002 - August 18, 2003

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

BD
CRD#: 40178
FRANKLIN, TN

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
Michigan
(5/31/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/20/2007
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/13/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/30/2010
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/14/2002
Investment Company Products/Variable Contracts Representative Examination

Current Firm

MA
MD ADVICE FINANCIAL
MD ADVICE FINANCIAL

CRD#: 329583 / SEC#:

Michigan
Registered Investment Advisory firm - (4/15/2024 Approved)
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Contact information

Main Address
1771 Foxwood Dr, Holt, MI 48842
Mailing Address
Phone number
(517) 256-6039
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV
0

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.

Company Information

MD ADVICE FINANCIAL

CRD#: 329583Holt, MI 48842

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