Ralph David Diaz

Current Employers

Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
CO	RA	APPROVED	2007-10-19

CO RA
APPROVED

Since 2007-10-19

Branch Locations

3200 Cherry Creek S Dr Ste 100, Denver, CO 80209 • United States

1155 Canyon Blvd [Rq-Rbo], Boulder, CO 80302 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	Denver	CO	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Denver	CO	11/2016	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

Denver, CO
11/2016 → Present

Wells Fargo Clearing Services, Llc

Denver, CO

Previous Registrations

2005-07-06 → 2007-10-16

Chase Investment Services Corp.

Chicago, IL

Chicago, IL
2003-04-29 → 2005-07-06

Banc One Securities Corporation

Chicago, IL

Other Businesses

RENTAL PROPERTY; INV. RELATED; VAIL,CO; 100% OWNERSHIP WITH SPOUSE; START DATE 10/01/2021; NUMBER OF HOURS PER MONTH 0; NUMBER OF HOURS DURING TRADING 0; OWNER.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2000-11-22

S66 Uniform Combined State Law Examination

2000-11-22

View on SEC IAPD

Current Employers

Wells Fargo Clearing Services, Llc

Disclosures

Employment History

Previous Registrations

Other Businesses

Exams

Other Firms

Other Investors

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