Carlos Daniel Diaz Montoya

Current Employers

Beacon Pointe Advisors, Llc

24 Corporate Plaza Suite 150, Newport Beach, CA 92660 • United States

Current Registrations

Authority	Category	Status	Date
CO	RA	APPROVED	2024-10-08

CO RA
APPROVED

Since 2024-10-08

Branch Locations

2000 South Colorado Tower Two, Suite 1150, Denver, CO 80222 • United States

24 Corporate Plaza Suite 150, Newport Beach, CA 92660 • 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
Tjmaxx The Tjx Companies	Aurora	CO	08/2016	06/2017
Blue Beacon Truck Wash	Commerce City	CO	06/2017	12/2017
Dig It Denver	Denver	CO	12/2017	12/2019
Sheridan College Multicultural Center	Sheridan	WY	12/2019	03/2020
Southern Oregon University (Sou)	Ashland	OR	03/2020	09/2020
Sou Recreation Center	Ashland	OR	01/2021	05/2021
Listo Tax Solutions	Medford	OR	02/2022	07/2022
Oregon Employment Department	Medford	OR	09/2022	12/2023
Unemployed	Aurora	CO	12/2023	02/2024
Northwestern Mutual	Englewood	CO	02/2024	03/2024
Unemployed	Aurora	CO	03/2024	04/2024
Beacon Pointe Advisors Llc	Denver	CO	04/2024	03/2026
Beacon Pointe Insurance Services, Llc	Denver	CO	04/2024	Present
Unemployed	Aurora	CO	10/2020	12/2020
Unemployed	Aurora	CO	06/2021	01/2022
Beacon Pointe Advisors, Llc	Denver	CO	04/2026	Present

08/2016 → 06/2017

Tjmaxx The Tjx Companies

Aurora, CO
06/2017 → 12/2017

Blue Beacon Truck Wash

Commerce City, CO
12/2017 → 12/2019

Dig It Denver

Denver, CO
12/2019 → 03/2020

Sheridan College Multicultural Center

Sheridan, WY
03/2020 → 09/2020

Southern Oregon University (Sou)

Ashland, OR
01/2021 → 05/2021

Sou Recreation Center

Ashland, OR
02/2022 → 07/2022

Listo Tax Solutions

Medford, OR
09/2022 → 12/2023

Oregon Employment Department

Medford, OR
12/2023 → 02/2024

Unemployed

Aurora, CO
02/2024 → 03/2024

Northwestern Mutual

Englewood, CO
03/2024 → 04/2024

Unemployed

Aurora, CO
04/2024 → 03/2026

Beacon Pointe Advisors Llc

Denver, CO
04/2024 → Present

Beacon Pointe Insurance Services, Llc

Denver, CO
10/2020 → 12/2020

Unemployed

Aurora, CO
06/2021 → 01/2022

Unemployed

Aurora, CO
04/2026 → Present

Beacon Pointe Advisors, Llc

Denver, CO

Other Businesses

Beacon Pointe Insurance Services, LLC, Not investment-related; Address: Main office located at 24 Corporate Plaza Dr., STE., 150, Newport Beach CA 92660; Position/Title: Agent; Start Date: 04/2024; HRS/MO During trading hours: 10 hrs./Mo.; Duties: Sale of insurance products (life/health/accident)

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2024-10-04
S63	Uniform Securities Agent State Law Examination	2024-03-23

S65 Uniform Investment Adviser Law Examination

2024-10-04
S63 Uniform Securities Agent State Law Examination

2024-03-23