Jaime Luis Diaz

CRD 6328906 · Wells Fargo Advisors · Cedar Park, TX

IA RegisteredBroker

Also appears in the source record as: Jaime L Diaz; Jaime Diaz

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): SIESeries 7Series 6Series 66Series 63
Registered states (1): Texas
Years in the industry (source record): 10
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Wells Fargo Advisors
Firm CRD: 19616
SEC number: 801-37967
Assets under management: $671.4B as of Jun 23, 2026
Website: www.twitter.com/WFINVESTING ↗
Phone: 314-875-3000
Firm location: St. Louis, MO, 63103-2205

Employment history (16)

From the source registration record · current first

Wells Fargo AdvisorsCurrent
Cedar Park, TX · IA capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Cedar Park, TX · BC capacity

start not retrieved → present
J.P. Morgan Securities LLC
Cedar Park, TX · IA capacity

Sep 28, 2022 → Jan 27, 2026
J.P. Morgan Securities LLC
Cedar Park, TX · BC capacity

Sep 28, 2022 → Jan 27, 2026
Equitable Advisors, LLC
Leander, TX · IA capacity

Apr 8, 2022 → Jul 22, 2022
Equitable Advisors, LLC
New York, NY · BC capacity

Apr 8, 2022 → Jul 22, 2022
Pnc Investments
New Braunfels, TX · IA capacity

Aug 8, 2021 → Jan 14, 2022
Pnc Investments
New Braunfels, TX · BC capacity

Aug 6, 2021 → Jan 14, 2022
Cetera Investment Advisers LLC
Hillside, NJ · IA capacity

Feb 28, 2019 → Jul 7, 2021
Cetera Investment Services LLC
Hillside, NJ · BC capacity

Feb 26, 2019 → Jul 7, 2021
Citigroup Global Markets Inc.
New York, NY · IA capacity

Apr 2, 2018 → Mar 18, 2019
Citigroup Global Markets Inc.
New York, NY · BC capacity

Mar 26, 2018 → Mar 18, 2019
Santander Securities
Elizabeth, NJ · IA capacity

Dec 21, 2016 → Mar 21, 2018
Santander Securities LLC
Elizabeth, NJ · BC capacity

Jan 15, 2016 → Mar 21, 2018
Invest Financial Corporation
Millburn, NJ · BC capacity

Oct 22, 2015 → Jan 22, 2016
Essex National Securities, LLC
Napa, CA · BC capacity

Sep 30, 2015 → Oct 15, 2015

Source & corrections

Where this page comes from

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