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Detailed Report
Diego Tomas Rojo Arisso
DIEGO ROJO, DIEGO TOMAS ROJO ARISSO, Diego T Rojo, Diego T Rojo Arisso, Diego T RojoArisso
CRD#: 7144295
IA
Investment Adviser
B
Broker
ADVICE AND PLANNING SERVICESCRD#: 20472 1670 BROADWAY, SUITE 3300
DENVER REGIONAL
DENVER, CO 80202-5602
Registration History
201920202021202220232024202520262 FIRMS2022 - 2023 (<1 year)2 FIRMS2024 - Present (1 year)BVANGUARD MARKETING CORPORATION (CRD# 7452)2019 - 2022 (2 years)IAVANGUARD ADVISERS, INC. (CRD# 106715)2020 - 2022 (1 year)
License(s)

State Registrations

B
Arkansas 2/23/2024
B
Maine 6/18/2024
B
California 6/24/2024
B
Maryland 6/18/2024
IA
Colorado 2/20/2024
B
Massachusetts 6/18/2024
B
Colorado 2/23/2024
B
Minnesota 6/18/2024
B
Connecticut 6/18/2024
B
New Mexico 6/18/2024
B
Florida 6/24/2024
B
Oklahoma 2/23/2024
B
Georgia 2/3/2025
B
Oregon 6/18/2024
B
Idaho 6/18/2024
B
South Dakota 6/18/2024
B
Illinois 6/18/2024
B
Tennessee 6/18/2024
B
Kansas 6/18/2024
B
Texas 2/23/2024
B
Louisiana 2/23/2024
B
Virginia 6/18/2024

SRO Registrations

B
 FINRA

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)
B
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CRD#:20472)
1670 BROADWAY, SUITE 3300 DENVER REGIONAL, DENVER, CO 80202-5602
Denver, CO
Registered with this firm since 2/23/2024
IA
ADVICE AND PLANNING SERVICES (CRD#:20472)
1670 BROADWAY, SUITE 3300 DENVER REGIONAL, DENVER, CO 80202-5602
Denver, CO
Registered with this firm since 2/20/2024
Previous Registration(s)
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IA
 09/02/2022 - 02/17/2023 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) MIAMI, FL
B
 09/01/2022 - 02/17/2023 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) MIAMI, FL
IA
 12/22/2020 - 07/22/2022 VANGUARD ADVISERS, INC. (CRD#:106715) MALVERN, PA
B
 08/22/2019 - 07/22/2022 VANGUARD MARKETING CORPORATION (CRD#:7452) MALVERN, PA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.