Herschel Diaz

CRD 7041281 · Charles Schwab & Co., Inc. · Delray Beach, FL

IA RegisteredBroker

Also appears in the source record as: Herschel I Diaz; Herschel Isidro Diaz

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (3): Series 7TOSIESeries 66
Registered states (7): Florida · Georgia · Minnesota · New York · Pennsylvania · Utah · Virginia
Years in the industry (source record): 6
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: Charles Schwab & Co., Inc.
Firm CRD: 5393
SEC number: 801-29938
Assets under management: Not yet retrieved from the source record
Website: www.linkedin.com/COMPANY/SCHWAB-ADVISOR-SERVICES ↗
Phone: 415-667-7000
Firm location: San Francisco, CA, 94105

Employment history (8)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Delray Beach, FL · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Delray Beach, FL · BC capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Fort Lauderdale, FL · IA capacity

Nov 28, 2022 → May 20, 2024
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Fort Lauderdale, FL · BC capacity

Nov 25, 2022 → May 20, 2024
E*trade Capital Management, LLC
Plantation, FL · IA capacity

May 27, 2021 → Oct 7, 2022
E*trade Securities LLC
Plantation, FL · BC capacity

May 20, 2021 → Oct 7, 2022
Edward Jones
Ft Lauderdale, FL · IA capacity

Feb 22, 2019 → May 4, 2021
Edward Jones
Ft Lauderdale, FL · BC capacity

Jan 1, 2019 → May 4, 2021

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 7041281 ↗ FINRA BrokerCheck record for CRD 7041281 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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