RD
Rene Diaz
ROBINHOOD FINANCIAL
Denver, CO 80202
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CRD#: 6313013
RD
Professional summary
Rene Diaz JR, who also goes by Rene Diaz Jr, Rene Diaz, Rene Diaz Jr., Rene Diaz Ocampo, is a registered financial professional currently at ROBINHOOD FINANCIAL, LLC located in Denver, Colorado.
Rene is registered as a RR (Registered Representative) and started their career in finance in 2014. Rene has worked at 5 firms and has passed the Series 66, Series 63, Series 3, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Rene Diaz Jr | Rene Diaz | Rene Diaz Jr. | Rene Diaz Ocampo
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.
CRS (Client Relationship Summary) - BD
Click below to view Rene Diaz JR's 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®
NoneExperience
Current
February 23, 2026 - Present
ROBINHOOD FINANCIAL, LLC
Office #1: 2373 15th St Suite 300, Denver, CO 80202BD
CRD#: 165998
Denver, CO
Past
January 13, 2023 - December 19, 2025
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
Lone Tree, CO
Past
February 28, 2022 - May 3, 2022
HIGHTOWER SECURITIES, LLC
BD
CRD#: 116681
CHICAGO, IL
Past
August 24, 2016 - July 1, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
RIA
CRD#: 20472
DENVER, CO
Past
August 19, 2014 - July 1, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
DENVER, CO
Past
May 3, 2014 - August 12, 2014
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
BD
CRD#: 102920
ENGLEWOOD, CO
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(2/23/2026)
RR
Alaska(2/23/2026)
RR
Arizona(2/23/2026)
RR
Arkansas(2/23/2026)
RR
California(2/23/2026)
RR
Colorado(2/23/2026)
RR
Connecticut(2/23/2026)
RR
Delaware(2/23/2026)
RR
District of Columbia(2/23/2026)
RR
Florida(2/23/2026)
RR
Georgia(2/23/2026)
RR
Hawaii(2/23/2026)
RR
Idaho(2/23/2026)
RR
Illinois(2/23/2026)
RR
Indiana(2/23/2026)
RR
Iowa(2/23/2026)
RR
Kansas(2/23/2026)
RR
Kentucky(2/23/2026)
RR
Louisiana(2/23/2026)
RR
Maine(2/23/2026)
RR
Maryland(2/23/2026)
RR
Massachusetts(2/23/2026)
RR
Michigan(2/23/2026)
RR
Minnesota(2/23/2026)
RR
Mississippi(2/23/2026)
RR
Missouri(2/23/2026)
RR
Montana(2/23/2026)
RR
Nebraska(2/23/2026)
RR
Nevada(2/23/2026)
RR
New Hampshire(2/23/2026)
RR
New Jersey(2/23/2026)
RR
New Mexico(2/23/2026)
RR
New York(2/23/2026)
RR
North Carolina(2/23/2026)
RR
North Dakota(2/23/2026)
RR
Ohio(2/23/2026)
RR
Oklahoma(2/23/2026)
RR
Oregon(2/23/2026)
RR
Pennsylvania(2/23/2026)
RR
Puerto Rico(2/23/2026)
RR
Rhode Island(2/23/2026)
RR
South Carolina(2/23/2026)
RR
South Dakota(2/23/2026)
RR
Tennessee(2/23/2026)
RR
Texas(2/23/2026)
RR
Utah(2/23/2026)
RR
Vermont(2/23/2026)
RR
Virgin Islands(2/23/2026)
RR
Virginia(2/23/2026)
RR
Washington(2/23/2026)
RR
West Virginia(2/23/2026)
RR
Wisconsin(2/23/2026)
RR
Wyoming(2/23/2026)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
RF
ROBINHOOD FINANCIAL, LLC
CHRONOS FINANCIAL, LLC | ROBINHOOD FINANCIAL, LLC
CRD#: 165998 / SEC#: , 8-69188
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
500 Colonial Center Parkway Suite 100, Lake Mary, FL 32746
Mailing Address
500 Colonial Center Parkway Suite 100, Lake Mary, FL 32746
Phone number
(650) 761-7789
Established
Delaware since 08/24/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROBINHOOD MARKETS, INC | 100% OWNER | |
| BILLINGS, MATTHEW JOHN | PRESIDENT, CHIEF EXECUTIVE OFFICER | 1915377 |
| CAVALLARO, ANTHONY JOSEPH | CHIEF COMPLIANCE OFFICER | 1607925 |
| GALVIN, SCOT SEAN | PRINCIPAL OPERATIONS OFFICER | 3226179 |
| KELATI, DANIEL T | CHIEF FINANCIAL OFFICER AND PRINCIPAL FINOP | 3103432 |
| KOLLER, WALTER | CHIEF OPERATING OFFICER | 1932260 |
| QUIRK, STEVEN MARK | MANAGER | 2728768 |
| SUBRAMANIAN, SIVARAMAKRISHNAN | MANAGER | 7339479 |
Disclosures
| Regulatory Event | 56 |
| Arbitration | 7 |
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.
