Roger Diaz

Current Employers

Dearborn Partners L.L.C.

200 W Madison St Suite 1950, Chicago, IL 60606 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2025-01-21
IL	RA	APPROVED	2020-07-09

CA RA
APPROVED

Since 2025-01-21
IL RA
APPROVED

Since 2020-07-09

Branch Locations

Manhattan Beach, CA • United States

200 W Madison St Suite 1950, Chicago, IL 60606 • 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

Organization	City	State	From	To
Delaware Investments	Philadelphia	PA	11/2014	03/2019
Dearborn Partners, L.L.C.	Manhatten Beach	CA	06/2020	Present
Unemployed	Manhattan Beach	CA	03/2019	06/2020
Quasar Distributors, Llc	Milwaukee	WI	07/2020	Present

11/2014 → 03/2019

Delaware Investments

Philadelphia, PA
06/2020 → Present

Dearborn Partners, L.L.C.

Manhatten Beach, CA
03/2019 → 06/2020

Unemployed

Manhattan Beach, CA
07/2020 → Present

Quasar Distributors, Llc

Milwaukee, WI

Previous Registrations

2014-11-25 → 2019-03-07

Delaware Capital Management Advisers, Inc

Philadelphia, PA
2003-01-22 → 2014-11-19

Tcw Investment Management Company Llc

Los Angeles, CA
2001-11-08 → 2002-11-04

Putnam Investment Management, Llc

Boston, MA

Other Businesses

1.) Dearborn Partners, LLC; Manhatten Beach, CA; investment related; started 06/15/2020; investment management; sales director; Business Development and Service; 160 hours per month with 1 hour during securities trading hours.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2001-10-19
S63	Uniform Securities Agent State Law Examination	1993-02-03

S65 Uniform Investment Adviser Law Examination

2001-10-19
S63 Uniform Securities Agent State Law Examination

1993-02-03

Other Names

Roger Diaz
Rogelio Diaz

View on SEC IAPD