Zachary L. Diaz

ALPACA SECURITIES LLC

Sanford, FL

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CRD#: 6027965

Professional summary

Zachary Luciano Diaz, who also goes by Zachary Diaz, is a registered financial professional currently at ALPACA SECURITIES LLC located in Sanford, Florida.

Zachary is registered as a RR (Registered Representative) and started their career in finance in 2012. Zachary has worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 27 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Zachary 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Zachary Luciano 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

April 16, 2025 - Present

ALPACA SECURITIES LLC

CRD#: 288202

Sanford, FL

Past

October 10, 2022 - April 14, 2025

WEBULL FINANCIAL LLC

CRD#: 289063

St. Petersburg, FL

Past

October 8, 2018 - July 15, 2022

ROBINHOOD SECURITIES, LLC

CRD#: 287900

LAKE MARY, FL

Past

November 14, 2017 - February 4, 2020

ROBINHOOD FINANCIAL, LLC

CRD#: 165998

Lake Mary, FL

Past

April 21, 2012 - November 20, 2017

COWEN EXECUTION SERVICES LLC

CRD#: 35693

Orlando, FL

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(4/16/2025)

New York
(4/16/2025)

Exams

State Security Law Exam

Series 63

Date: 9/27/2023

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/20/2012

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 7/25/2025

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 10/20/2018

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

Nasdaq BX, Inc.

SRO Registrations

Nasdaq Stock Market

Current Firm

ALPACA SECURITIES LLC

CRD#: 288202 / SEC#: , 8-69928

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

12 E 49th St. Floor 11, New York, NY 10017

Mailing Address

12 E 49th St. Floor 11, New York, NY 10017

Phone number

(941) 231-4093

Established

Delaware since 03/15/2017

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
ALPACADB, INC.	SOLE MEMBER
DIAZ, ZACHARY LUCIANO	SR. DIRECTOR CUSTODY & SETTLEMENT, PRINCIPAL OPERATIONS OFFICER	6027965
DUSSEAULT, DAVID STANLEY	PRESIDENT AND COO	2819891
GARZA, FELIPE	AML COMPLIANCE OFFICER	4613815
LEE, TONY	GLOBAL HEAD OF BROKERAGE	5618563
SAUGSTAD, MONIQUE D	CHIEF COMPLIANCE OFFICER	4127241
TAIFI, MEHDI	CHIEF RISK OFFICER	5977322
WETTERWALD, TAMMY CAO	CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, FINOP	6113272

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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Firm Stability Insights

Zachary L. Diaz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Zachary Luciano Diaz's CRS (Customer Relationship Summary).

Certified licenses

Experience

WEBULL FINANCIAL LLC

ROBINHOOD SECURITIES, LLC

ROBINHOOD FINANCIAL, LLC

COWEN EXECUTION SERVICES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/27/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 4/20/2012

Series 27

Date: 7/25/2025

Series 24

Date: 10/20/2018

FINRA

Investors' Exchange LLC

Nasdaq BX, Inc.

Nasdaq Stock Market

Current Firm

ALPACA SECURITIES LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ALPACA SECURITIES LLC

TRUST BUT VERIFY

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