JD
Jorge A. Diaz-galarza
LPL ENTERPRISE
Bradenton, FL 34205
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CRD#: 7321053
JD
Professional summary
Jorge Alberto Diaz-galarza, who also goes by Jorge Alberto Diaz Galarza, Jorge Alberto Diaz, Jorge Diaz, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Bradenton, Florida.
Jorge is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Jorge has worked at 5 firms and has passed the Series 65, Series 63, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jorge Alberto Diaz Galarza | Jorge Alberto Diaz | Jorge 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. 05/12/2025 - Prudential Advisors - DBA for LPL Business (entity for LPL business) - Inv Related - Bradenton, FL - Start Date 05/12/2025 - 160hrs/MTH 2. 05/12/2025 - N/A Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - Inv Related - Bradenton, FL - Start Date 05/12/2025 - 160hrs/MTH
CRS (Client Relationship Summary) - RIA
Click below to view Jorge Alberto Diaz-galarza's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jorge Alberto Diaz-galarza'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 20, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 339 6th Ave W Ste 37a & 9, Bradenton, FL 34205RIA
BD
CRD#: 8733
Bradenton, FL
Current
May 19, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 339 6th Ave W Ste 37a & 9, Bradenton, FL 34205RIA
BD
CRD#: 8733
Bradenton, FL
Past
February 24, 2023 - June 10, 2025
FIRST COMMAND ADVISORY SERVICES
RIA
CRD#: 281958
Orlando, FL
Past
February 24, 2023 - June 10, 2025
FIRST COMMAND BROKERAGE SERVICES, INC.
BD
CRD#: 3641
ORLANDO, FL
Past
June 7, 2022 - January 30, 2023
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
RIA
CRD#: 611
GUAYNABO, PR
Past
June 7, 2022 - January 30, 2023
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
BD
CRD#: 611
GUAYNABO, PR
Past
March 30, 2022 - May 23, 2022
FIRST COMMAND BROKERAGE SERVICES, INC.
BD
CRD#: 3641
ORLANDO, FL
Past
February 19, 2021 - January 14, 2022
PFS INVESTMENTS INC.
BD
CRD#: 10111
TOA BAJA, PR
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".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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
Florida(5/19/2025)
IAR
Florida(5/20/2025)
RR
Nevada(5/29/2025)
RR
Puerto Rico(5/19/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 2/19/2021
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
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.
