Javier Diaz Perez

Employer firm

Osaic Wealth, Inc. CRD 23131

$235B regulatory AUM 56,660 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

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

Current Employers

Osaic Wealth, Inc.

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2024-07-23

CA RA
APPROVED

Since 2024-07-23

Branch Locations

Livermore, CA • United States

6700 Koll Center Parkway Suite 325, Pleasanton, CA 94566 • 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
Ameritas Investment Corp.	Lincoln	NE	01/2010	11/2017
Ameritas Life Insurance Corp.	Lincoln	NE	01/2010	11/2017
Cornerstone Financial Partners	San Jose	CA	08/2007	04/2017
Tesoro Financial Group, Inc	Livermore	CA	10/2007	Present
Legal Shield Llc	Livermore	CA	03/2015	Present
Mml Investors Services, Llc	San Jose	CA	11/2017	07/2024
Massachusetts Mutual Life Insurance Company	San Jose	CA	11/2017	07/2024
Osaic Wealth, Inc	Pleasanton	CA	07/2024	Present

01/2010 → 11/2017

Ameritas Investment Corp.

Lincoln, NE
01/2010 → 11/2017

Ameritas Life Insurance Corp.

Lincoln, NE
08/2007 → 04/2017

Cornerstone Financial Partners

San Jose, CA
10/2007 → Present

Tesoro Financial Group, Inc

Livermore, CA
03/2015 → Present

Legal Shield Llc

Livermore, CA
11/2017 → 07/2024

Mml Investors Services, Llc

San Jose, CA
11/2017 → 07/2024

Massachusetts Mutual Life Insurance Company

San Jose, CA
07/2024 → Present

Osaic Wealth, Inc

Pleasanton, CA

Previous Registrations

2017-12-07 → 2024-07-08

Mml Investors Services, Llc

San Jose, CA

San Jose, CA

Livermore, CA

Other Businesses

1. TESORO FINANCIAL GROUP, INC POSITION: Insurance and Financial Advisor NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 60 START DATE: 10/29/1999 ADDRESS: 6700 Koll Center Parkway, Suite 325, Pleasanton CA 94566-8465, United States DESCRIPTION: Selling of life, disability and annuities. Brokerage accounts for securities in NFS as a financial advisor. 2. RENTAL PROPERTY POSITION: Owner NATURE: Sole Proprietorship - Rental Property INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 05/01/1996 ADDRESS: 1170 Chesterton Ave, Redwood City CA 94061, United States DESCRIPTION: Finding tenants when old tenants move out. Very limited time associated with this. Leasing tend to be 1-2 years.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1995-06-30

S63 Uniform Securities Agent State Law Examination

1995-06-30

Designations

Chartered Financial Consultant

Other Names

Javier D Perez

View on SEC IAPD