RD
Rubén Z. Díaz Iii
ROBINHOOD ASSET MANAGEMENT
Orlando, FL
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CRD#: 7281021
RD
Professional summary
Rubén Zavier Díaz Iii, who also goes by Ruben Zavier Diaz, Ruben Z Diaz, is a registered financial advisor currently at ROBINHOOD ASSET MANAGEMENT located in Orlando, Florida and ROBINHOOD FINANCIAL, LLC located in Lake Mary, Florida.
Rubén is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Rubén has worked at 5 firms and has passed the Series 66, Series 3, Series 6TO, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ruben Zavier Diaz | Ruben Z Diaz
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)Name: RVRD Men, Inv Rel: N Addr: 12270 Shady Spring Way, Orlando FL 32828, Nature: Retail Sales-I sell custom made ties, Position: Founder Lead Designer, Start: 10/19/2022, No Hr/Mo: 10 No Hr/ Mo: 0 Duties: I make the ties and sell them.
CRS (Client Relationship Summary) - RIA
Click below to view Rubén Zavier Díaz Iii'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®
NoneExperience
Current
May 9, 2025 - Present
ROBINHOOD ASSET MANAGEMENT
RIA
CRD#: 323736
Orlando, FL
Current
September 25, 2024 - Present
ROBINHOOD FINANCIAL, LLC
Office #1: 500 Colonial Center Pky Suite 100, Lake Mary, FL 32746BD
CRD#: 165998
Lake Mary, FL
Past
January 5, 2024 - September 12, 2024
GFG SOLUTIONS
RIA
CRD#: 328988
ORLANDO, FL
Past
August 2, 2023 - December 31, 2023
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
Orlando, FL
Past
October 31, 2022 - December 31, 2023
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Orlando, FL
Past
October 1, 2021 - April 13, 2022
NYLIFE SECURITIES LLC
BD
CRD#: 5167
MAITLAND, FL
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".
RA
ROBINHOOD ASSET MANAGEMENT
RAM | ROBINHOOD STRATEGIES | ROBINHOOD ASSET MANAGEMENT, LLC | ROBINHOOD ASSET MANAGEMENT
CRD#: 323736 / SEC#: 801-127371
RIA
Registered Investment Advisory firm - (1/14/2025 Approved)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.RR
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
RR
Alabama(9/25/2024)
RR
Alaska(9/25/2024)
RR
Arizona(9/25/2024)
RR
Arkansas(9/25/2024)
RR
California(9/25/2024)
IAR
California(5/9/2025)
RR
Colorado(9/25/2024)
RR
Connecticut(9/25/2024)
RR
Delaware(9/25/2024)
RR
District of Columbia(9/25/2024)
RR
Florida(9/25/2024)
IAR
Florida(6/4/2025)
RR
Georgia(9/25/2024)
RR
Hawaii(9/25/2024)
RR
Idaho(9/25/2024)
RR
Illinois(9/25/2024)
RR
Indiana(9/25/2024)
RR
Iowa(9/25/2024)
RR
Kansas(9/25/2024)
RR
Kentucky(9/25/2024)
RR
Louisiana(9/25/2024)
RR
Maine(9/25/2024)
RR
Maryland(9/25/2024)
RR
Massachusetts(9/25/2024)
RR
Michigan(9/25/2024)
RR
Minnesota(9/25/2024)
RR
Mississippi(9/25/2024)
RR
Missouri(9/25/2024)
RR
Montana(9/25/2024)
RR
Nebraska(9/25/2024)
RR
Nevada(9/25/2024)
RR
New Hampshire(9/25/2024)
RR
New Jersey(9/25/2024)
RR
New Mexico(9/25/2024)
RR
New York(9/25/2024)
RR
North Carolina(9/25/2024)
RR
North Dakota(9/25/2024)
RR
Ohio(9/25/2024)
RR
Oklahoma(9/25/2024)
RR
Oregon(9/25/2024)
RR
Pennsylvania(9/25/2024)
RR
Puerto Rico(9/25/2024)
RR
Rhode Island(9/25/2024)
RR
South Carolina(9/25/2024)
RR
South Dakota(9/25/2024)
RR
Tennessee(9/25/2024)
RR
Texas(9/25/2024)
RR
Utah(9/25/2024)
RR
Vermont(9/25/2024)
RR
Virgin Islands(9/25/2024)
RR
Virginia(9/25/2024)
RR
Washington(9/25/2024)
RR
West Virginia(9/25/2024)
RR
Wisconsin(9/25/2024)
RR
Wyoming(9/25/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 10/1/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
RA
ROBINHOOD ASSET MANAGEMENT
RAM | ROBINHOOD STRATEGIES | ROBINHOOD ASSET MANAGEMENT, LLC | ROBINHOOD ASSET MANAGEMENT
CRD#: 323736 / SEC#: 801-127371
RIA
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Contact information
Main Address
85 Willow Road, Menlo Park, CA 94025
Mailing Address
Phone number
650-940-2700 EXT 31450
Established
Firm type
Fiscal year end
# of Employees
56
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 81,015 |
| AUM (Assets Under Management) | $ 158,695,275 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
