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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-05-20 |
Branch Locations
4675 Macarthur Court Suite 1050, Newport Beach, CA 92660 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Century City | CA | 05/2018 | 07/2021 |
| Wells Fargo | Palo Alto | CA | 03/2016 | 01/2018 |
| Unemployed | Santa Clara | CA | 02/2018 | 05/2018 |
| Foothill Community College 08/2011 - 04/2017 | Los Altos | CA | 09/2012 | 06/2017 |
| Bank Of America, N.A. | Century City | CA | 06/2018 | 07/2021 |
| Farther Finance Advisors, Llc | Los Angeles | CA | 11/2021 | 06/2022 |
| Unemployed | Los Angeles | CA | 08/2021 | 10/2021 |
| Lincoln Financial Advisors | Irvine | CA | 06/2022 | 09/2023 |
| Ep Wealth Advisors, Llc | Irvine | CA | 10/2023 | 05/2025 |
| Massmutual Life Insurance Co | Newport Beach | CA | 05/2025 | Present |
| Mml Investors Services, Llc | Newport Beach | CA | 05/2025 | Present |
NAME: AARON DIAZ INV REL: Y ADD: 4695 MACARTHUR CT SUITE 1000 NEWPORT BEACH CA 92660 NATURE: OUTSIDE INSURANCE SALES POSITION: INSURANCE BROKER START DATE: NO. HR/MO: 1 NO. HR/MO DURING SEC TRADING: 1 DUTIES: LIFE, DI. LTC, FIXED ANNUITIES AND HEALTH
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-08-27 |
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