Hector 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.
Hector Diaz was a registered financial professional .
Hector is a previously registered financial professional and started their career in finance in 1975. Hector had worked at 6 firms and has passed the Series 63, Series 22TO, Series 6TO, SIE, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 11, 2007 - January 2, 2023
LONGVIEW WEALTH MANAGEMENT
January 3, 2007 - December 31, 2022
CAMBRIDGE INVESTMENT RESEARCH, INC.
January 28, 2005 - December 31, 2006
CETERA WEALTH SERVICES, LLC
May 6, 2004 - December 31, 2006
CETERA WEALTH SERVICES, LLC
May 27, 2003 - January 16, 2004
MSI FINANCIAL SERVICES, INC.
July 26, 2000 - January 16, 2004
METROPOLITAN LIFE INSURANCE COMPANY
July 26, 2000 - January 16, 2004
MSI FINANCIAL SERVICES, INC.
November 7, 1994 - July 18, 2000
CETERA WEALTH SERVICES, LLC
August 25, 1975 - August 26, 1994
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
Primary Firm SEC Registration
LONGVIEW WEALTH MANAGEMENT
CRD#: 136214 / SEC#: 801-64708
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 1
Date: 8/20/1975
Registered Representative ExaminationCurrent Firm
LONGVIEW WEALTH MANAGEMENT
CRD#: 136214 / SEC#: 801-64708
Contact information
SEC notice filing (21 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,214 |
| AUM (Assets Under Management) | $ 1,104,703,390 |
Red Flags
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