DD
David D. Diaz Monroy
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CRD#: 6622298
DD
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.
David Dario Diaz Monroy, who also goes by David D Diaz, David Diaz, David D Diaz Monroy, David Diaz Monroy, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2016. David had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
David D Diaz | David Diaz | David D Diaz Monroy | David Diaz Monroy
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.
1) ALL AMERICA LOGISTICS, Conducted since 10/2020, in Miami FL. The nature of the Outside Business Activity (OBA) is Logistics services to sugar mills, Non Financial related, my position in the organization is Logistic Manager, 20hours per month are devoted to this business mostly during trading hours. 2) Millennia Atlantic University, Non-Investment related, 3801 NW 97 Th Ave Ste 100, Doral, Fl 33178, Adjunct Professor Started 10/2021, Higher Education 16 hours/month, 0 hours/month during securities trading hours, Professor. 3) All American Logistics, Non-Investment related, 8150 NW 71st Street, Miami, FL 33166, Logistics Manager started 10/2020, Logistics Services to Sugar Mills, 20 hours/month, 20 hours/month during securities trading hours, Marking, Advertising, Warehouse
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
May 26, 2021 - October 2, 2025
PORTFOLIO RESOURCES ADVISOR GROUP, INC.
RIA
CRD#: 144601
CORAL GABLES, FL
Past
April 13, 2021 - October 2, 2025
PORTFOLIO RESOURCES GROUP, INC.
BD
CRD#: 31155
Coral Gables, FL
Past
April 23, 2018 - June 3, 2019
INVESTACORP ADVISORY SERVICES INC
RIA
CRD#: 109011
MIAMI, FL
Past
April 10, 2018 - June 3, 2019
INVESTACORP, INC.
BD
CRD#: 7684
MIAMI, FL
Past
July 6, 2016 - March 20, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
HUNT VALLEY, MD
Past
April 20, 2016 - March 20, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
HUNT VALLEY, MD
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".
PR
PORTFOLIO RESOURCES ADVISOR GROUP, INC.
CHANCERY FINANCIAL ADVISORS | SUSTAINABLE WEALTH ADVISORS | SEVEN GENERATIONS INVESTING LLC | PROFILE INVESTMENT SERVICES, LTD | PRINCIPLED INVESTING LLC | PPD-FINANCIAL | PORTFOLIO RESOURCES ADVISOR GROUP, INC. | LIGHTHOUSE CAPITAL | LANDER ADVISORY | JOYCE MOORE FINANCIAL SERVICES | ISASI WEALTH ADVISORY | HIGH IMPACT INVESTMENTS | FOSTER FINANCIAL SERVICES INC
CRD#: 144601 / SEC#: 801-111808
RIA
Registered Investment Advisory firm - (10/6/2017 Approved)Arizona
Registered Investment Advisory firm - (10/6/2017 Terminated)California
Registered Investment Advisory firm - (11/5/2017 Terminated)Colorado
Registered Investment Advisory firm - (10/13/2017 Terminated)Florida
Registered Investment Advisory firm - (12/31/2017 Terminated)Kentucky
Registered Investment Advisory firm - (10/12/2017 Terminated)Louisiana
Registered Investment Advisory firm - (1/2/2013 Terminated)New Jersey
Registered Investment Advisory firm - (10/20/2017 Terminated)New York
Registered Investment Advisory firm - (10/6/2017 Terminated)North Carolina
Registered Investment Advisory firm - (10/6/2017 Terminated)Oregon
Registered Investment Advisory firm - (11/7/2017 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/10/2017 Terminated)Texas
Registered Investment Advisory firm - (12/31/2012 Terminated)Virginia
Registered Investment Advisory firm - (10/6/2017 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
PR
PORTFOLIO RESOURCES ADVISOR GROUP, INC.
CHANCERY FINANCIAL ADVISORS | SUSTAINABLE WEALTH ADVISORS | SEVEN GENERATIONS INVESTING LLC | PROFILE INVESTMENT SERVICES, LTD | PRINCIPLED INVESTING LLC | PPD-FINANCIAL | PORTFOLIO RESOURCES ADVISOR GROUP, INC. | LIGHTHOUSE CAPITAL | LANDER ADVISORY | JOYCE MOORE FINANCIAL SERVICES | ISASI WEALTH ADVISORY | HIGH IMPACT INVESTMENTS | FOSTER FINANCIAL SERVICES INC
CRD#: 144601 / SEC#: 801-111808
RIA
Registered Investment Advisory firm - (10/6/2017 Approved)Arizona
Registered Investment Advisory firm - (10/6/2017 Terminated)California
Registered Investment Advisory firm - (11/5/2017 Terminated)Colorado
Registered Investment Advisory firm - (10/13/2017 Terminated)Florida
Registered Investment Advisory firm - (12/31/2017 Terminated)Kentucky
Registered Investment Advisory firm - (10/12/2017 Terminated)Louisiana
Registered Investment Advisory firm - (1/2/2013 Terminated)New Jersey
Registered Investment Advisory firm - (10/20/2017 Terminated)New York
Registered Investment Advisory firm - (10/6/2017 Terminated)North Carolina
Registered Investment Advisory firm - (10/6/2017 Terminated)Oregon
Registered Investment Advisory firm - (11/7/2017 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/10/2017 Terminated)Texas
Registered Investment Advisory firm - (12/31/2012 Terminated)Virginia
Registered Investment Advisory firm - (10/6/2017 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4000 Ponce De Leon Blvd Ste 670, Coral Gables, FL 33146
Mailing Address
Phone number
(305) 372-0299
Established
Firm type
Fiscal year end
# of Employees
16
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 362 |
| AUM (Assets Under Management) | $ 115,963,278 |
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.
