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ELBA MARGIE DIAZ
ELBA DIAZ PATZELT
CRD#: 5149993
IA
B
WELLS FARGO ADVISORSCRD#: 19616 1300 S HAVANA ST
AURORA, CO 80012
AURORA, CO 80012
0
Disclosures
13
Years of Experience
View By:
State Registrations
B
Arizona 6/25/2018
B
Massachusetts 11/27/2018
B
Arkansas 11/27/2018
B
Minnesota 11/27/2018
B
California 6/25/2018
B
Nevada 10/5/2018
B
Colorado 5/3/2018
B
New Hampshire 4/2/2025
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Colorado 10/28/2019
B
New Jersey 11/27/2018
B
Florida 11/27/2018
B
Ohio 11/28/2018
B
Georgia 11/27/2018
B
Tennessee 2/25/2025
B
Illinois 6/25/2018
B
Texas 6/25/2018
B
Kansas 1/3/2025
B
Utah 10/5/2018
SRO Registrations
B
B
B
B
B
B
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IA
Registered with this firm since 10/28/2019
B
Registered with this firm since 5/3/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 10/05/2016 - 05/24/2017 | GEORGETOWN, TX | |
B | 08/20/2015 - 07/26/2016 | CHICAGO, IL | |
B | 11/25/2013 - 09/04/2014 | CHICAGO, IL | |
B | 09/04/2013 - 10/28/2013 | CHICAGO, IL | |
B | 03/03/2011 - 11/10/2011 | AUSTIN, TX | |
B | 08/21/2006 - 08/03/2009 | OAK BROOK, IL |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.