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Ralph Daniel Diaz

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Wayne, NJ

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2012-12-19
NJ RA APPROVED 2010-01-22
  • TX RA
    APPROVED_RES
    Since 2012-12-19
  • NJ RA
    APPROVED
    Since 2010-01-22

Branch Locations

1700 State Route 23, Wayne, NJ 07470 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Birmingham AL 01/2010 Present
Bank Of America Na Wayne NJ 02/2011 Present
Previous Registrations
  • 2009-06-01 → 2010-01-25
    Morgan Stanley
    Morristown, NJ
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Morristown, NJ
  • 2002-07-19 → 2007-04-02
    Morgan Stanley Dw Inc.
    Morristown, NJ
    Morristown, NJ
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-07-18
S63 Uniform Securities Agent State Law Examination 1992-01-20
  • S65 Uniform Investment Adviser Law Examination
    2002-07-18
  • S63 Uniform Securities Agent State Law Examination
    1992-01-20

View on SEC IAPD

Other Firms

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TD PRIVATE CLIENT WEALTH LLC
CETERA INVESTMENT ADVISERS LLC
LPL ENTERPRISE, LLC
J.P. MORGAN SECURITIES LLC
EDWARD JONES
HIGHLAND FINANCIAL ADVISORS, LLC
STEWARD PARTNERS INVESTMENT ADVISORY, LLC

Other Investors

BETH ELLEN BRADEN-CORN
MARK SZWAGULINSKI
WALTER JAY GOLCZEWSKI
JOHN PAUL BARBARY
ERIC R LEVENS
GEORGE RICHARD BARNES
NEIL FRANCIS BURKE
Maria Mark

Other Offices

STATE FARM INVESTMENT MANAGEMENT CORP. · Wayne, NJ
TD PRIVATE CLIENT WEALTH LLC · Pompton Plains, NJ
CETERA INVESTMENT ADVISERS LLC · WAYNE, NJ
LPL ENTERPRISE, LLC · RIVERDALE, NJ
J.P. MORGAN SECURITIES LLC · Pompton Plains, NJ
EDWARD JONES · POMPTON PLAINS, NJ
HIGHLAND FINANCIAL ADVISORS, LLC · RIVERDALE, NJ
STEWARD PARTNERS INVESTMENT ADVISORY, LLC · RIVERDALE, NJ

More in Wayne, NJ

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