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Diana Diaz

Oppenheimer & Co. Inc.

The Woodlands, TX

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Current Employers
Oppenheimer & Co. Inc.

85 Broad Street 22Nd Floor, New York, NY 10004 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2026-06-29
  • TX RA
    APPROVED
    Since 2026-06-29

Branch Locations

Research Forest Lakeside Building 4 2445 Technology Forest Boulevard - Suite 510, The Woodlands, TX 77381 • 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
Wells Fargo Advisors Llc Houston TX 01/2011 11/2016
Wells Fargo Clearing Services, Llc Houston TX 11/2016 03/2024
Ameriprise Financial Services, Llc Houston TX 03/2024 06/2026
Oppenheimer & Co. Inc. The Woodlands TX 06/2026 Present
Previous Registrations
  • 2024-04-01 → 2026-06-22
    Ameriprise Financial Services, Llc
    Houston, TX
    Conroe, TX
  • 2011-01-03 → 2024-04-03
    Wells Fargo Clearing Services, Llc
    Houston, TX
    Houston, TX
    Houston, TX
    Houston, TX
    Austin, TX
    Spring, TX
    Houston, TX
    San Antonio, TX
    Tyler, TX
    Houston, TX
    Tyler, TX
    Houston, TX
  • 2005-01-07 → 2011-01-03
    Wells Fargo Investments, Llc
    Houston, TX
    Houston, TX
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-12-21
  • S66 Uniform Combined State Law Examination
    2004-12-21
Other Names
  • Diana Maria Diaz
  • Diana Diaz

View on SEC IAPD

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Other Investors

DANIEL CORAL GOODWIN
Jeffrey Douglas Hackett
KRISTIN LEE SANDERS
JENNIFER JOYCE CHACHERE
LEISL MAJ DODSON
THOMAS JAMES HAYES
JAMES ALBERT MAHDAK
SUSAN MARIE HILL

Other Offices

PROVIDENT WEALTH ADVISORS, LLC · THE WOODLANDS, TX
AMERIPRISE FINANCIAL SERVICES, LLC · THE WOODLANDS, TX
J. W. COLE ADVISORS, INC. · THE WOODLANDS, TX
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · The Woodlands, TX
AMERIPRISE FINANCIAL SERVICES, LLC · The Woodlands, TX
ROSSBY FINANCIAL, LLC · The Woodlands, TX
STATE FARM INVESTMENT MANAGEMENT CORP. · The Woodlands, TX
ALLSTATE FINANCIAL ADVISORS, LLC · Spring, TX

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