Ulises Diaz

Current Employers

Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2025-08-06
NY	RA	APPROVED	2025-05-27

TX RA
APPROVED_RES

Since 2025-08-06
NY RA
APPROVED

Since 2025-05-27

Branch Locations

68 S Service Rd Ste 200 [C1-Rbo], Melville, NY 11747 • United States

2065 Boston Post Rd, Larchmont, NY 10538 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Jpmorgan Chase Bank	New York	NY	08/2016	03/2018
Jpmorgan Securities Llc	New York	NY	08/2016	03/2019
Jpmorgan Chase Bank, N.A	New York	NY	03/2018	03/2019
Citigroup	Rye	NY	03/2019	02/2024
Wells Fargo Clearing Services, Llc	Melville	NY	05/2025	Present
Unemployed	Bronx	NY	02/2024	05/2025

08/2016 → 03/2018

Jpmorgan Chase Bank

New York, NY
08/2016 → 03/2019

Jpmorgan Securities Llc

New York, NY
03/2018 → 03/2019

Jpmorgan Chase Bank, N.A

New York, NY
03/2019 → 02/2024

Citigroup

Rye, NY
05/2025 → Present

Wells Fargo Clearing Services, Llc

Melville, NY
02/2024 → 05/2025

Unemployed

Bronx, NY

Previous Registrations

2021-06-29 → 2024-02-28

Citigroup Global Markets Inc.

Fort Lee, NJ

Rye, NY

New York, NY

Port Jefferson, NY

Thornwood, NY

Boca Raton, FL

Port Jefferson, NY

New City, NY

Uniondale, NY

Fort Mill, SC

Port Jefferson, NY

Uniondale, NY

Stamford, CT

New York, NY

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2021-06-28
S63	Uniform Securities Agent State Law Examination	2015-04-30

S65 Uniform Investment Adviser Law Examination

2021-06-28
S63 Uniform Securities Agent State Law Examination

2015-04-30