Jason R. Diaz
Professional summary
Jason Robert Diaz was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jason Robert Diaz, who also goes by Jason Diaz, Jason Roberts, was a registered financial professional .
Jason is a previously registered financial professional and started their career in finance in 2003. Jason had worked at 17 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 2016 - April 8, 2016
JOSEPH STONE CAPITAL L.L.C.
June 19, 2015 - October 26, 2015
GARDEN STATE SECURITIES, INC.
February 25, 2014 - July 23, 2015
JOSEPH STONE CAPITAL L.L.C.
December 17, 2013 - March 20, 2014
SPARTAN CAPITAL SECURITIES, LLC
July 7, 2011 - December 16, 2013
GLOBAL ARENA CAPITAL CORP
December 8, 2010 - July 11, 2011
EKN FINANCIAL SERVICES INC.
April 20, 2010 - May 19, 2010
CHELSEA FINANCIAL SERVICES
November 23, 2009 - February 23, 2010
BROOKSTONE SECURITIES, INC.
October 26, 2009 - November 18, 2009
PRESTIGE FINANCIAL CENTER, INC.
September 9, 2009 - October 26, 2009
PHD CAPITAL
March 11, 2009 - July 24, 2009
ROCKWELL GLOBAL CAPITAL LLC
August 21, 2007 - March 27, 2009
NATIONAL SECURITIES CORPORATION
July 6, 2007 - August 14, 2007
BROOKVILLE CAPITAL PARTNERS
February 16, 2007 - July 2, 2007
EMPIRE FINANCIAL GROUP, INC.
September 7, 2006 - February 23, 2007
J.P. TURNER & COMPANY, L.L.C.
October 10, 2005 - September 8, 2006
EMPIRE FINANCIAL GROUP, INC.
June 29, 2005 - August 25, 2005
WESTROCK ADVISORS, INC.
April 26, 2005 - July 13, 2005
GRANTA CAPITAL GROUP LLC
March 23, 2005 - April 26, 2005
J.P. TURNER & COMPANY, L.L.C.
April 22, 2004 - March 16, 2005
EKN FINANCIAL SERVICES INC.
November 21, 2003 - March 23, 2004
J.P. TURNER & COMPANY, L.L.C.
July 21, 2003 - November 21, 2003
HARRISON SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
JOSEPH STONE CAPITAL L.L.C.
CRD#: 159744 / SEC#: , 8-69014
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
Red Flags
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