Inactive

Fernando Diaz

Prota Financial

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Current Employers

Prota Financial

1980 Post Oak Blvd Suite 200, Houston, TX 77056-3845 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2017-08-09

TX RA
APPROVED

Since 2017-08-09

Branch Locations

1980 Post Oak Blvd Suite 200, Houston, TX 77056-3845 • 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
Jpmorgan Securities Llc	Houston	TX	05/2013	02/2017
Ameriprise Financial Advisors Inc.	Houston	TN	02/2017	06/2017
Prota Financial, Llc	Houston	TX	08/2017	Present

05/2013 → 02/2017

Jpmorgan Securities Llc

Houston, TX
02/2017 → 06/2017

Ameriprise Financial Advisors Inc.

Houston, TN
08/2017 → Present

Prota Financial, Llc

Houston, TX

Previous Registrations

2017-02-01 → 2017-06-30

Ameriprise Financial Services, Llc

Houston, TX
2013-05-31 → 2017-02-08

J.P. Morgan Securities Llc

Houston, TX

Houston, TX

Houston, TX

Houston, TX

Houston, TX

Houston, TX
2010-06-10 → 2013-05-28

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Houston, TX

Houston, TX

Houston, TX

Austin, TX

Houston, TX

Houston, TX
2009-11-20 → 2010-06-16

Chase Investment Services Corp.

Houston, TX
2009-06-01 → 2009-10-12

Morgan Stanley

Houston, TX
2008-10-17 → 2009-06-01

Morgan Stanley & Co. Llc

Houston, TX

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2008-09-10

S66 Uniform Combined State Law Examination

2008-09-10

View on SEC IAPD

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WILLIAM THOMAS PAYNE

JON CARTER VAUGHAN

GREGORY JAMES KALLUS

Philip Chukwuezugo Onochie

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BRIDGE CAPITAL ADVISORS · HOUSTON, TX

TSA WEALTH MANAGEMENT · HOUSTON, TX

PEREA CAPITAL · HOUSTON, TX

TRI-STAR ADVISORS, INC. · HOUSTON, TX

HORNOR, TOWNSEND & KENT, LLC · Houston, TX

AMERIPRISE FINANCIAL SERVICES, LLC · Houston, TX

LPL FINANCIAL LLC · HOUSTON, TX

MARINER INDEPENDENT · Houston, TX

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