Guillermo E. Diaz

CHACON DIAZ & DI VIRGILIO WEALTH MANAGEMENT

Gainesville, FL 32653

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CRD#: 4879939

Professional summary

Guillermo Eduardo Diaz, who also goes by Guillermo Diaz, is a registered financial advisor currently at CHACON DIAZ & DI VIRGILIO WEALTH MANAGEMENT, LLC located in Gainesville, Florida.

Guillermo is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Guillermo has worked at 5 firms and has passed the Series 66, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Guillermo 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.

MICANOPY CHARTER SCHOOL TREASURER OVERSEE FINANCES IN SCHOOL

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Guillermo Eduardo Diaz's CRS (Customer Relationship Summary).

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

September 22, 2010 - Present

CHACON DIAZ & DI VIRGILIO WEALTH MANAGEMENT, LLC

Office #1: 6208 Nw 43rd Street, Gainesville, FL 32653

RIA

CRD#: 154242

Gainesville, FL

Past

March 18, 2009 - November 3, 2010

SUMMIT FINANCIAL GROUP INC

RIA

CRD#: 109485

GAINESVILLE, FL

Past

February 20, 2009 - November 3, 2010

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

GAINESVILLE, FL

Past

May 30, 2007 - March 4, 2009

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

GAINSVILLE, FL

Past

May 29, 2007 - March 4, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

GAINSVILLE, FL

Past

February 13, 2007 - May 31, 2007

EDWARD JONES

RIA

CRD#: 250

GAINESVILLE, FL

Past

January 12, 2005 - May 31, 2007

EDWARD JONES

CRD#: 250

GAINESVILLE, FL

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".

CHACON DIAZ & DI VIRGILIO WEALTH MANAGEMENT, LLC

CHACON DIAZ & DI VIRGILIO WEALTH MANAGEMENT | CHACON DIAZ & DI VIRGILIO WEALTH MANAGEMENT, LLC

CRD#: 154242 / SEC#: 801-123284

RIA

Registered Investment Advisory firm - (2/18/2022 Approved)

California

Registered Investment Advisory firm - (5/5/2022 Terminated)

Florida

Registered Investment Advisory firm - (4/5/2022 Terminated)

Georgia

Registered Investment Advisory firm - (4/18/2022 Terminated)

Louisiana

Registered Investment Advisory firm - (4/12/2022 Terminated)

Texas

Registered Investment Advisory firm - (4/5/2022 Terminated)

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).

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

California
(10/12/2010)

IAR

Florida
(9/22/2010)

IAR

Georgia
(2/28/2020)

IAR

Louisiana
(9/2/2014)

IAR

Texas
(12/3/2010)

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 66

Date: 2/5/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/14/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/11/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/29/2009

General Securities Principal Examination

Current Firm

CHACON DIAZ & DI VIRGILIO WEALTH MANAGEMENT, LLC

CHACON DIAZ & DI VIRGILIO WEALTH MANAGEMENT | CHACON DIAZ & DI VIRGILIO WEALTH MANAGEMENT, LLC

CRD#: 154242 / SEC#: 801-123284

RIA

Registered Investment Advisory firm - (2/18/2022 Approved)

California

Registered Investment Advisory firm - (5/5/2022 Terminated)

Florida

Registered Investment Advisory firm - (4/5/2022 Terminated)

Georgia

Registered Investment Advisory firm - (4/18/2022 Terminated)

Louisiana

Registered Investment Advisory firm - (4/12/2022 Terminated)

Texas

Registered Investment Advisory firm - (4/5/2022 Terminated)

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Contact information

Main Address

6208 Nw 43rd Street, Gainesville, FL 32653

Mailing Address

Phone number

(888) 392-8007

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A-2B (8/26/2025)

Regulatory assets under management

Total Number of Accounts	713
AUM (Assets Under Management)	$ 124,652,736

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

Guillermo E. Diaz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Guillermo Eduardo Diaz's CRS (Customer Relationship Summary).

Certified licenses

Experience

SUMMIT FINANCIAL GROUP INC

SUMMIT BROKERAGE SERVICES, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

CHACON DIAZ & DI VIRGILIO WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/5/2007

Series 63

Date: 1/14/2005

Series 7

Date: 1/11/2005

Series 24

Date: 7/29/2009

Current Firm

CHACON DIAZ & DI VIRGILIO WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CHACON DIAZ & DI VIRGILIO WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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