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BRAULIO LUIS DIAZ
Braulio Diaz
CRD#: 6226042
IA
Investment Adviser
B
Broker
CHARLES SCHWAB & CO., INC.CRD#: 5393 801 Brickell Ave
Suite 640
Miami, FL 33131
Registration History
2015201620172018201920202021202220232024202520263 FIRMS2018 - 2020 (2 years)2 FIRMS2020 - Present (4 years)BSCOTTRADE, INC. (CRD# 8206)2015 - 2018 (2 years)IASCOTTRADE INVESTMENT MANAGEMENT (CRD# 169988)2017 - 2018 (<1 year)
License(s)

State Registrations

B
Arizona 6/25/2024

B
New Jersey 11/6/2020

B
California 9/8/2020

B
New Mexico 10/6/2020

B
Colorado 7/25/2024

B
New York 10/6/2020

B
Connecticut 11/6/2020

B
North Carolina 10/27/2020

B
District of Columbia 7/6/2024

B
Oklahoma 9/11/2024

B
Florida 9/8/2020

B
Pennsylvania 1/27/2023

IA
Florida 9/9/2020

B
Tennessee 2/8/2025

B
Georgia 12/21/2020

B
Texas 2/20/2024

B
Hawaii 5/5/2023

B
Utah 1/18/2024

B
Illinois 7/27/2021

B
Vermont 7/15/2022

B
Maryland 11/6/2020

B
Virginia 11/6/2020

B
Montana 6/25/2024

SRO Registrations

B
FINRA

B
Nasdaq Stock Market

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CHARLES SCHWAB & CO., INC. (CRD#:5393)
801 Brickell Ave Suite 640, Miami, FL 33131
Registered with this firm since 9/9/2020

B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
801 Brickell Ave Suite 640, Miami, FL 33131
Registered with this firm since 9/8/2020

Previous Registration(s)
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IA
02/28/2018 - 09/01/2020 TD AMERITRADE, INC. (CRD#:7870) MIAMI, FL
IA
02/26/2018 - 09/01/2020 TD AMERITRADE INVESTMENT MANAGEMENT, LLC (CRD#:111514) MIAMI, FL
B
02/26/2018 - 09/01/2020 TD AMERITRADE, INC. (CRD#:7870) MIAMI, FL
IA
03/10/2017 - 02/26/2018 SCOTTRADE INVESTMENT MANAGEMENT (CRD#:169988) Miami, FL
B
03/23/2015 - 02/26/2018 SCOTTRADE, INC. (CRD#:8206) MIAMI, FL
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B
Broker
IA
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.