Gerard Stephen Diaz
Investment Adviser Representative at Wells Fargo Advisors
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Gerard Stephen Diaz is an investment adviser representative with Wells Fargo Advisors in Henderson, NV, where they have been registered since 2025. They have worked in the securities industry since 2020 and have been registered with 5 firms, including BFC Planning, Inc. and TLG Advisors, Inc. They have passed 3 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent) and Series 7 (general securities representative). They are registered to provide investment advice in Nevada.
Office
Advisors at this office: 5
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Nevada
- Broker:
1 state or territory
Nevada
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Ameriprise FinancialAug 2019 – Jan 2022Las Vegas, NV
- Ameriprise Auto and Home InsuranceJun 2018 – Aug 2019Las Vegas, NV
- UnemployedApr 2018 – Jun 2018Henderson, NV
- Egg WorksSep 2017 – Apr 2018Henderson, NV
- Sugar FactoryFeb 2017 – Sep 2017Las Vegas, NV
- College of Southern NevadaJul 2016 – Feb 2017Henderson, NV
- Charles Schwab & Co., Inc.Feb 2022 – Oct 2024Las Vegas, NV
- Charles Schwab Bank, SSBFeb 2022 – Oct 2024Las Vegas, NV
- FrameworkOct 2024 – Mar 2025Los Angeles, CA
- The Leaders Group IncOct 2024 – Mar 2025Littleton, CO
- Securities Management & Research, Inc.Jun 2025 – Oct 2025Henderson, NV
- BFC Planning, Inc.Jun 2025 – Oct 2025Henderson, NV
- UnemployedMar 2025 – Jun 2025Henderson, NV
- Wells Fargo Clearing Services, LLCNov 2025 – no end date reportedHenderson, NV
- Wells Fargo BANK, NANov 2025 – no end date reportedHenderson, NV
Official records & sources
Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Wells Fargo Advisors
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Commissions
- Fixed fee
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Monitor account performance, allocations, and holdings; view real-time quotes, stock data, and trading information; read market news and research; transfer money between investment and bank accounts.
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 14,697
- Offices listed on AdvisorFinder:
- 26
- Main office:
- St. Louis, MO
- SEC file number:
- 801-37967
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of October 1, 2026
View full firm profileOther advisors at Wells Fargo Advisors
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Gerard Stephen Diaz has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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