Diego F. Daza

BALANZ

Coral Gables, FL 33134

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CRD#: 6156494

Professional summary

Diego Fernando Daza, who also goes by Diego F Daza, Diego Daza, Diego Fernando Daza Gallego, is a registered financial advisor currently at BALANZ located in Coral Gables, Florida and BALANZ CAPITAL USA LLC located in Coral Gables, Florida.

Diego is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Diego has worked at 5 firms and has passed the Series 66, Series 7TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Diego F Daza | Diego Daza | Diego Fernando Daza Gallego

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.

BALANZ ADVISORS LLC - REGISTERED INVESTMENT ADVISER. SINCE 09/2023. 40 HRS PER WEEK. SAME ADDRESS AS BALANZ CAPITAL USA LLC. INVESTMENT ADVICE.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Diego Fernando Daza'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

November 6, 2023 - Present

BALANZ

Office #1: 2811 Ponce De Leon Blvd. Suite 710, Coral Gables, FL 33134

RIA

CRD#: 322263

Coral Gables, FL

Current

August 27, 2025 - Present

BALANZ CAPITAL USA LLC

Office #1: 2811 Ponce De Leon Blvd Suite 710, Coral Gables, FL 33134

CRD#: 325914

CORAL GABLES, FL

Past

October 2, 2023 - August 14, 2025

HOLISTIC BROKERAGE, LLC

CRD#: 46001

MIAMI, FL

Past

March 1, 2021 - October 6, 2023

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

MIAMI, FL

Past

May 10, 2019 - October 6, 2023

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

MIAMI, FL

Past

November 1, 2013 - May 12, 2015

J.P. MORGAN SECURITIES LLC

CRD#: 79

CORAL GABLES, 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".

BALANZ

BALANZ | BALANZ ADVISORS LLC | BALANZ ADVISORS

CRD#: 322263 / SEC#: 801-126818

RIA

Registered Investment Advisory firm - (11/2/2022 Approved)

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.

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

IAR

Florida
(11/6/2023)

Florida
(8/27/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/25/2021

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 5/10/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 5/12/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 11/1/2013

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

BALANZ

BALANZ | BALANZ ADVISORS LLC | BALANZ ADVISORS

CRD#: 322263 / SEC#: 801-126818

RIA

Registered Investment Advisory firm - (11/2/2022 Approved)

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Contact information

Main Address

2811 Ponce De Leon Blvd. Suite 710, Coral Gables, FL 33134

Mailing Address

Phone number

(786) 687-4066

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

BALANZ FORM ADV II 3-31-2023 (3/19/2025)

Regulatory assets under management

Total Number of Accounts	64
AUM (Assets Under Management)	$ 165,284,564

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

Diego F. Daza

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Diego Fernando Daza's CRS (Customer Relationship Summary).

Certified licenses

Experience

BALANZ CAPITAL USA LLC

HOLISTIC BROKERAGE, LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

J.P. MORGAN SECURITIES LLC

Primary Firm SEC Registration

BALANZ

State Registrations and Notice Filings

Exams

Series 66

Date: 2/25/2021

Series 7TO

Date: 5/10/2019

SIE

Date: 5/12/2015

Series 6

Date: 11/1/2013

FINRA

Current Firm

BALANZ

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BALANZ

TRUST BUT VERIFY

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