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Carlos O. Diaz

Strategic Advisers LLC

Houston, TX

Spring, TX

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Current Employers
Strategic Advisers Llc

155 Seaport Blvd, Boston, MA 02210-2698 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2025-03-31
  • TX RA
    APPROVED
    Since 2025-03-31

Branch Locations

5322 Fm 1960 Rd W, Houston, TX 77069-4404 • United States

Spring, TX • 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
Wells Fargo Clearing Services, Llc. Miami FL 08/2017 01/2023
Wells Fargo Bank Na Miami FL 05/2014 01/2023
Macy'S Miami FL 10/2016 02/2017
Fidelity Investments Houston TX 01/2023 Present
Fidelity Investments Boston MA 03/2025 Present
  • 08/2017 → 01/2023
    Wells Fargo Clearing Services, Llc.
    Miami, FL
  • 05/2014 → 01/2023
    Wells Fargo Bank Na
    Miami, FL
  • 10/2016 → 02/2017
    Macy'S
    Miami, FL
  • 01/2023 → Present
    Fidelity Investments
    Houston, TX
  • 03/2025 → Present
    Fidelity Investments
    Boston, MA
Previous Registrations
  • 2023-01-31 → 2025-03-31
    Fidelity Personal And Workplace Advisors
    Houston, TX
  • 2020-10-29 → 2023-01-18
    Wells Fargo Clearing Services, Llc
    Miami, FL
    Coral Gables, FL
    Conroe, TX
    Houston, TX
    The Woodlands, TX
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-10-28
S63 Uniform Securities Agent State Law Examination 2017-11-09
  • S66 Uniform Combined State Law Examination
    2020-10-28
  • S63 Uniform Securities Agent State Law Examination
    2017-11-09
Other Names
  • Carlos Octavio Diaz Gonzalez
  • Carlos Octavio Diaz

View on SEC IAPD

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