Richard Diaz

MD ADVICE FINANCIAL

HOLT, MI 48842

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CRD#: 4455758

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.

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.

CRD#: 15296

LANSING, MI

Past

September 17, 2002 - August 18, 2003

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

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)

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: 12/20/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/13/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/30/2010

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/14/2002

Investment Company Products/Variable Contracts Representative Examination

Current Firm

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

Documents

Latest Form ADV

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Richard Diaz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Diaz JR.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

SECURIAN FINANCIAL SERVICES, INC.

SECURIAN FINANCIAL SERVICES, INC.

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/20/2007

Series 63

Date: 10/13/2003

SIE

Date: 10/1/2018

Series 7

Date: 6/30/2010

Series 6

Date: 9/14/2002

Current Firm

MD ADVICE FINANCIAL

Contact information

Documents

Red Flags

Company Information

MD ADVICE FINANCIAL

TRUST BUT VERIFY

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