Diego H. Parra-cortez

MADRID RETIREMENT ADVISORS

Manhattan Beach, CA 90266

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CRD#: 6731753

Professional summary

Diego Hernan Parra-cortez, who also goes by Diego Cortez, is a registered financial advisor currently at MADRID RETIREMENT ADVISORS located in Manhattan Beach, California and LPL FINANCIAL LLC located in Manhattan Beach, California.

Diego is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Diego has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Diego Cortez

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. 10/17/2017 - MADRID FINANCIAL SERVICES/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ 0%/ MANHATTAN BEACH, CA 2. 10/17/2017 - MADRID RETIREMENT ADVISORS/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ 0%/ MANHATTAN BEACH, CA 3. 12/15/2017 - Madrid Financial Services - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date 09/29/2017 - 200 Hours Per Month / 50 Hours During Trading - 100% Time Spent - I provide investment advisory services through Madrid Financial Services, an independent investment advisor firm. I started this business activity in 09/2017. I expect to spend approximately 200 hours per month on this activity. Please see the advisory firm�s Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Diego Hernan Parra-cortez'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®

None

Experience

Current

June 12, 2018 - Present

MADRID RETIREMENT ADVISORS

Office #1: 111 N. Sepulveda Blvd. Suite 250, Manhattan Beach, CA 90266

RIA

CRD#: 172464

Manhattan Beach, CA

Current

October 23, 2017 - Present

LPL FINANCIAL LLC

Office #1: 111 N Sepulveda Blvd Ste 300, Manhattan Beach, CA 90266-6850

RIA

CRD#: 6413

Manhattan Beach, CA

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

California
(12/13/2017)

IAR

California
(6/12/2018)

Texas
(1/24/2025)

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: 12/13/2017

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/23/2017

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

MADRID RETIREMENT ADVISORS

MADRID FINANCIAL SERVICES | MADRID RETIREMENT ADVISORS | MADRID FINANCIAL SERVICES, INC.

CRD#: 172464 / SEC#:

California

Registered Investment Advisory firm - (2/12/2015 Approved)

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Contact information

Main Address

111 N. Sepulveda Blvd. Suite 250, Manhattan Beach, CA 90266

Mailing Address

Phone number

(714) 465-2537

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	490
AUM (Assets Under Management)	$ 168,638,602

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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Diego H. Parra-cortez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Diego Hernan Parra-cortez's CRS (Customer Relationship Summary).

Certified licenses

Experience

MADRID RETIREMENT ADVISORS

LPL FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/13/2017

SIE

Date: 10/1/2018

Series 7

Date: 10/23/2017

FINRA

Current Firm

MADRID RETIREMENT ADVISORS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MADRID RETIREMENT ADVISORS

TRUST BUT VERIFY

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