Albert Diaz
Professional summary
Albert Diaz is a registered financial advisor currently at CITY NATIONAL ROCHDALE located in Beverly Hills, California.
Albert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Albert has worked at 3 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Albert Diaz's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 5, 2025 - Present
CITY NATIONAL ROCHDALE
Office #1: 400 N Roxbury Dr 6th Floor, Beverly Hills, CA 90210May 5, 2023 - September 9, 2025
CITY NATIONAL SECURITIES, INC.
July 1, 2021 - September 9, 2025
CITY NATIONAL SECURITIES, INC.
May 31, 2018 - January 14, 2020
U.S. BANCORP INVESTMENTS, INC.
Primary Firm SEC Registration
CITY NATIONAL ROCHDALE
CRD#: 117198 / SEC#: 801-27265
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(9/5/2025)
Exams
Series 7TO
Date: 10/28/2022
General Securities Representative ExaminationCurrent Firm
CITY NATIONAL ROCHDALE
CRD#: 117198 / SEC#: 801-27265
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,300 |
| AUM (Assets Under Management) | $ 68,177,828,012 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/27/2023 |
Red Flags
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