• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
CARLOS RESENDEZ DIAZ
CRD#: 6862473
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 1500 BROADWAY ST, STE 200
LUBBOCK, TX 79401
Registration History
20172018201920202021202220232024202520262 FIRMS2017 - 2022 (5 years)2 FIRMS2022 - Present (2 years)
License(s)

State Registrations

B
Alabama 6/25/2024

B
New Mexico 10/31/2022

B
Arkansas 12/20/2022

B
Ohio 12/20/2022

B
California 3/21/2024

B
Oklahoma 10/31/2022

B
Colorado 10/31/2022

B
Pennsylvania 12/20/2022

B
Florida 12/20/2022

B
Tennessee 12/20/2022

B
Idaho 3/21/2024

B
Texas 10/31/2022

B
Illinois 12/20/2022

IA
Texas 10/31/2022

B
Missouri 10/31/2022

B
Virginia 12/20/2022

B
Nebraska 12/20/2022

B
Washington 3/21/2024

SRO Registrations

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq GEMX, LLC

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
1500 BROADWAY ST, STE 200, LUBBOCK, TX 79401
Registered with this firm since 10/31/2022

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
1500 BROADWAY ST, STE 200, LUBBOCK, TX 79401
Registered with this firm since 10/31/2022

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
12/18/2017 - 11/02/2022 EDWARD JONES (CRD#:250) LUBBOCK, TX
B
11/21/2017 - 11/02/2022 EDWARD JONES (CRD#:250) LUBBOCK, TX
For additional information about investment advisers or broker-dealers, please visit
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.