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Anna E. Diaz

Corient

San Diego, CA

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Current Employers
Corient

830 Brickell Plaza Suite 4800, Miami, FL 33131 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2022-09-15
TX RA APPROVED 2022-09-15
  • CA RA
    APPROVED
    Since 2022-09-15
  • TX RA
    APPROVED
    Since 2022-09-15

Branch Locations

12265 El Camino Real Suite 300, San Diego, CA 92130 • 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
OrganizationCityStateFromTo
Bank Of America, N.A. San Diego CA 10/1997 11/2018
Merrill Lynch, Pierce, Fenner & Smith Incorporated San Diego CA 10/2009 11/2018
Dowling & Yahnke, Llc San Diego CA 11/2018 03/2023
Cipw Service Company, Llc Toronto 01/2022 07/2023
Corient San Diego CA 09/2022 Present
Corient Services Llc Miami FL 07/2023 Present
  • 10/1997 → 11/2018
    Bank Of America, N.A.
    San Diego, CA
  • 10/2009 → 11/2018
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    San Diego, CA
  • 11/2018 → 03/2023
    Dowling & Yahnke, Llc
    San Diego, CA
  • 01/2022 → 07/2023
    Cipw Service Company, Llc
    Toronto
  • 09/2022 → Present
    Corient
    San Diego, CA
  • 07/2023 → Present
    Corient Services Llc
    Miami, FL
Previous Registrations
  • 2018-11-12 → 2023-03-31
    Dowling & Yahnke, Llc
    San Diego, CA
  • 2009-10-23 → 2018-11-05
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    San Diego, CA
    Newport Beach, CA
  • 2004-04-20 → 2009-10-23
    Banc Of America Investment Services, Inc.
    San Diego, CA
    San Diego, CA
    San Diego, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-04-19
  • S66 Uniform Combined State Law Examination
    2004-04-19
Designations
Other Names
  • Anna Elizabeth Schultz

View on SEC IAPD

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Other Offices

CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
RBC CAPITAL MARKETS, LLC · SAN DIEGO, CA
CETERA INVESTMENT MANAGEMENT LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA

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