Jose L. Diaz

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CRD#: 4653630

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Jose Luis Diaz was a registered financial professional .

Jose is a previously registered financial professional and started their career in finance in 2006. Jose had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 4, 2017 - August 10, 2018

SHEARSON FINANCIAL SERVICES, LLC

RIA

CRD#: 38619

BOCA RATON, FL

Past

November 30, 2017 - August 10, 2018

SHEARSON FINANCIAL SERVICES, LLC

CRD#: 38619

BOCA RATON, FL

Past

May 11, 2015 - November 11, 2015

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

FT. LAUDERDALE, FL

Past

May 6, 2015 - November 11, 2015

EQUITABLE ADVISORS, LLC

CRD#: 6627

FT. LAUDERDALE, FL

Past

April 27, 2012 - October 31, 2014

JHS CAPITAL ADVISORS, LLC

RIA

CRD#: 112097

MIAMI, FL

Past

November 3, 2011 - October 31, 2014

JHS CAPITAL ADVISORS, LLC

CRD#: 112097

MIAMI, FL

Past

March 6, 2008 - September 19, 2008

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

HOLLYWOOD, FL

Past

February 14, 2008 - September 19, 2008

PARK AVENUE SECURITIES LLC

CRD#: 46173

HOLLYWOOD, FL

Past

June 21, 2006 - February 28, 2007

COSTA FINANCIAL SECURITIES, INC.

CRD#: 45039

HOLLYWOOD, FL

Past

January 25, 2006 - February 17, 2006

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

FORT LAUDERDALE, FL

Past

January 25, 2006 - February 17, 2006

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

FORT LAUDERDALE, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/25/2012

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 8/10/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/2/2011

General Securities Representative Examination

Current Firm

SHEARSON FINANCIAL SERVICES, LLC

CRD#: 38619 / SEC#: 801-61866, 8-48313

RIA

Registered Investment Advisory firm - SEC (8/19/2004 Terminated)

Florida

Registered Investment Advisory firm - SEC (6/20/2016 Approved)

Texas

Registered Investment Advisory firm - SEC (5/4/2017 Approved)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

7000 W. Palmetto Park Road Suite 501, Boca Raton, FL 33433

Mailing Address

7000 W. Palmetto Park Road Suite 501, Boca Raton, FL 33433

Phone number

(561) 613-4727

Established

Florida since 01/01/2007

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (45 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
KAPLAN, JED PHILIP	CEO/FINOP/CCO	1622929
GROSSMAN, STEVEN MICHAEL	PRESIDENT, AML OFFICER	4430498

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Jose L. Diaz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SHEARSON FINANCIAL SERVICES, LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

JHS CAPITAL ADVISORS, LLC

JHS CAPITAL ADVISORS, LLC

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

COSTA FINANCIAL SECURITIES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/25/2012

SIE

Date: 8/10/2018

Series 7

Date: 11/2/2011

Current Firm

SHEARSON FINANCIAL SERVICES, LLC

Contact information

FINRA licenses (45 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SHEARSON FINANCIAL SERVICES, LLC

TRUST BUT VERIFY

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