Jaime L. Diaz
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.
Jaime L Diaz, who also goes by Jaime L Diaz, Jaime Luis Diaz, Jaime Diaz, was a registered financial professional .
Jaime is a previously registered financial professional and started their career in finance in 2015. Jaime had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 2022 - January 27, 2026
J.P. MORGAN SECURITIES LLC
September 28, 2022 - January 27, 2026
J.P. MORGAN SECURITIES LLC
April 8, 2022 - July 22, 2022
EQUITABLE ADVISORS, LLC
April 8, 2022 - July 22, 2022
EQUITABLE ADVISORS, LLC
August 8, 2021 - January 14, 2022
PNC WEALTH MANAGEMENT LLC
August 6, 2021 - January 14, 2022
PNC WEALTH MANAGEMENT LLC
February 28, 2019 - July 7, 2021
CETERA INVESTMENT ADVISERS LLC
February 26, 2019 - July 7, 2021
CETERA INVESTMENT SERVICES LLC
April 2, 2018 - March 18, 2019
CITIGROUP GLOBAL MARKETS INC.
March 26, 2018 - March 18, 2019
CITIGROUP GLOBAL MARKETS INC.
December 21, 2016 - March 21, 2018
SANTANDER SECURITIES LLC
January 15, 2016 - March 21, 2018
SANTANDER SECURITIES LLC
October 22, 2015 - January 22, 2016
INVEST FINANCIAL CORPORATION
September 30, 2015 - October 15, 2015
ESSEX NATIONAL SECURITIES, LLC
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLAVITA, MOLLIE | ELECTED MANAGER | 1875615 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 144 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 |
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.
