Alain Antonio Diaz-Diaz

Employer firm

Fisher Investments CRD 107342

$387B regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (investment companies)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• PORTFOLIO ASSESSMENT

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2021 → 10/2022
  Jpmorgan Chase Bank, N.A.
  Summit, NJ
• 05/2021 → 10/2022
  J.P. Morgan Securities Llc
  Summit, NJ
• 01/2018 → 03/2019
  Td Bank
  Somerville, NJ
• 08/2015 → 12/2017
  Bridgewater Yogurt
  Bridgewater, NJ
• 09/2017 → 12/2019
  Raritan Valley Community College
  Branchburg, NJ
• 06/2017 → 07/2017
  Ups
  Bound Brook, NJ
• 11/2019 → 12/2019
  Fedex Ground
  Metuchen, NJ
• 09/2020 → 09/2020
  Quickclerk
  Bridgewater, NJ
• 03/2019 → 05/2021
  Pnc Bank
  Green Brook, NJ
• 01/2022 → 10/2022
  Mobile Notary
  Elizabeth, NJ
• 10/2022 → 01/2024
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Cranford, NJ
• 02/2023 → 01/2024
  Bank Of America, N.A.
  Cranford, NJ
• 05/2024 → Present
  Fisher Investments
  Tampa, FL
• 01/2024 → 05/2024
  Unemployed
  Dunellen, NJ

Previous Registrations

• 2023-04-14 → 2024-01-22
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  North Plainfield, NJ
  New York, NY
  Cranford, NJ

Exams

• S66 Uniform Combined State Law Examination
  2023-03-03
• S63 Uniform Securities Agent State Law Examination
  2021-08-03

Other Names

• Alain Diaz
• Alain A Diaz
• Alain Antonio Diaz-Diaz