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Rafael A Diaz

Ameriprise Financial Services, LLC

Polk City, IA

Miami, FL

CRD 6027690

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Employer firm

Ameriprise Financial Services, LLC CRD 6363

$660B regulatory AUM 124,349 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers
Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2024-04-29
FL RA APPROVED 2015-07-08
  • IA RA
    APPROVED
    Since 2024-04-29
  • FL RA
    APPROVED
    Since 2015-07-08

Branch Locations

Polk City, IA • United States

8390 Sw 72Nd Ave Ste 142B, Miami, FL 33143-7664 • 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
Ameriprise Financial Services, Inc. Miami FL 02/2012 03/2020
Ameriprise Financial Services, Llc Miami FL 03/2020 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-08-30
  • S66 Uniform Combined State Law Examination
    2012-08-30
Other Names
  • Rafael Abraham Diaz
  • Rafael Diaz
  • Rafael Abraham Diaz

View on SEC IAPD

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