Carlos A. 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.
Carlos A. Diaz, CFP®, who also goes by Calrlos A. Diaz, was a registered financial professional .
Carlos is a previously registered financial professional and started their career in finance in 2017. Carlos had worked at 1 firm .
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2017
Experience
December 15, 2017 - April 25, 2018
LIGHTHOUSE FINANCIAL MANAGEMENT, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LIGHTHOUSE FINANCIAL MANAGEMENT, LLC
CRD#: 127748 / SEC#: 801-110214
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 448 |
| AUM (Assets Under Management) | $ 184,117,678 |
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.
