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Roger Diaz
ROGELIO DIAZ, ROGER DIAZ
CRD#: 2238591
IA
Investment Adviser
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Broker
DEARBORN PARTNERS L.L.C.CRD#: 108147 Manhattan Beach, CA
QUASAR DISTRIBUTORS, LLCCRD#: 103848 Manhatten Beach, CA
Registration History
19952000200520102015202020252 FIRMS2003 - 2014 (11 years)2 FIRMS2014 - 2019 (4 years)2 FIRMS2020 - Present (4 years)BPUTNAM RETAIL MANAGEMENT LIMIT... (CRD# 7325)1998 - 2002 (4 years)BPLANCO FINANCIAL SERVICES, INC. (CRD# 8326)1996 - 1998 (1 year)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1996 - 1996 (<1 year)BSMITH BARNEY INC. (CRD# 7059)1994 - 1996 (1 year)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1993 - 1994 (1 year)BREYNOLDS KENDRICK STRATTON, INC. (CRD# 10414)1993 - 1993 (<1 year)IAPUTNAM INVESTMENT MANAGEMENT, LLC (CRD# 106629)2001 - 2002 (1 year)
License(s)

State Registrations

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Alaska 7/8/2020

B
Illinois 7/13/2020

B
Arizona 7/8/2020

B
Montana 7/8/2020

B
California 7/8/2020

B
Nevada 7/8/2020

IA
California 7/9/2020

B
Oregon 7/8/2020

B
Colorado 7/8/2020

B
Utah 7/8/2020

B
Hawaii 7/8/2020

B
Washington 7/8/2020

B
Idaho 7/8/2020

B
Wyoming 7/8/2020

IA
Illinois 7/9/2020

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
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DEARBORN PARTNERS L.L.C. (CRD#:108147)
Manhattan Beach, CA
Registered with this firm since 7/9/2020

B
QUASAR DISTRIBUTORS, LLC (CRD#:103848)
Manhatten Beach, CA
Registered with this firm since 7/8/2020

Previous Registration(s)
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11/25/2014 - 03/07/2019 DELAWARE CAPITAL MANAGEMENT ADVISERS, INC (CRD#:152237) PHILADELPHIA, PA
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11/25/2014 - 03/07/2019 DELAWARE DISTRIBUTORS, L.P. (CRD#:14232) PHILADELPHIA, PA
IA
01/22/2003 - 11/19/2014 TCW INVESTMENT MANAGEMENT CO (CRD#:106546) LOS ANGELES, CA
B
03/07/2003 - 11/19/2014 TCW FUNDS DISTRIBUTORS (CRD#:16670) LOS ANGELES, CA
IA
11/08/2001 - 11/04/2002 PUTNAM INVESTMENT MANAGEMENT, LLC (CRD#:106629) BOSTON, MA
B
10/27/1998 - 10/07/2002 PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP (CRD#:7325) BOSTON, MA
B
12/13/1996 - 09/24/1998 PLANCO FINANCIAL SERVICES, INC. (CRD#:8326) HARTFORD, CT
B
01/26/1996 - 12/04/1996 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
B
05/16/1994 - 02/12/1996 SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
03/30/1993 - 05/16/1994 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
02/03/1993 - 02/25/1993 REYNOLDS KENDRICK STRATTON, INC. (CRD#:10414)
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Broker
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Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.