Regino Diaz

Current Employers

Employment History

• 10/1999 → 03/2018
  Bank Of America, N.A.
  Ponoma, CA
• 10/1999 → 03/2018
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Brea, CA
• 03/2018 → Present
  J.P. Morgan Securities Llc
  Irvine, CA
• 10/2024 → 09/2025
  Sugarland Property
  Sugar Land, TX

Previous Registrations

• 2016-06-01 → 2018-03-14
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Brea, CA
  Laguna Niguel, CA
  Newport Beach, CA
  Newport Beach, CA

Other Businesses

Entity Name: Avington Rental Property Investment related: N Address: La Porte, TX, 77571 Nature of the other business: Real Estate Position/Title/Relationship: Owner/Partner Start Date: 01/04/2015 Approximate # of hours a month: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Rental SFR managed by Property Manager Entity Name: Stone Creek Rental Property Investment related: N Address: La Porte, TX, 77571 Nature of the other business: Real Estate Position/Title/Relationship: Owner/Partner Start Date: 01/04/2015 Approximate # of hours a month: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Rental SFR Managed by Property Manager Entity Name: Cypress Rental Property Investment related: N Address: Cypress, TX, 77429 Nature of the other business: Real Estate Position/Title/Relationship: Owner/Partner Start Date: 06/15/2021 Approximate # of hours a month: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Rental Fourplex managed by property Manager Entity Name: Spring Rental Property Investment related: N Address: Spring, TX 77388 Nature of the other business: Real Estate Position/Title/Relationship: Owner/Partner Start Date: 08/15/2021 Approximate # of hours a month: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Rental fourplex managed by property manager Entity Name: RDSY Ventures Investment related: Yes Address: 5742 Parkhurst Pl Yorba Linda CA 92886 Nature of the other business: S-Corp for real estate holdings Position/Title/Relationship: Owner Start Date: 03/14/2017 Approximate # of hours a month: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Owner/Secretary; Entity Name: Cypress Rental Property Investment related: Yes Address: 12603 Telge Rd #2 (1A-D), Cypress TX 77429 Nature of the other business: Real Estate Position/Title/Relationship: Owner Start Date: 01/01/2015 Approximate # of hours a month: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Buy and hold/sell/rent residential investment properties. Entity Name: Stone Creek Rental Property Investment related: Yes Address: 5618 Stone Creek Dr. La Porte, TX 77571 Nature of the other business: Real Estate Position/Title/Relationship: Owner Start Date: 01/04/2015 Approximate # of hours a month: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Buy and hold/sell/rent residential investment properties. Entity Name: Avington Rental Property Investment related: Yes Address: 8511 Avington Rd, La Porte, TX 77571 Nature of the other business: Real Estate Position/Title/Relationship: Owner Start Date: 03/01/2017 Approximate # of hours a month: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Buy and hold/sell/rent residential investment properties. Entity Name: Spring Rental Property Investment related: Yes Address: 21155 Gosling Rd (#45A-D), Spring, TX 77388 Nature of the other business: Real Estate Position/Title/Relationship: Owner Start Date: 08/15/2021 Approximate # of hours a month: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Buy and hold/sell/rent residential investment properties

Exams

• S66 Uniform Combined State Law Examination
  2016-05-31
• S63 Uniform Securities Agent State Law Examination
  2002-06-23

Designations