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Roger Diaz

Investment Adviser Representative at DEARBORN PARTNERS L.L.C.

Manhattan Beach, CACRD #2238591Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
32 yrs
States Registered
13 states
Exams Passed
5

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Roger Diaz has worked in the securities industry since 1994. They are registered to provide investment advisory services in 13 U.S. states.

Registrations & licenses

Registration type
Dual-registered
Registered in 13 states
AlaskaArizonaCaliforniaColoradoHawaiiIdahoIllinoisMontanaNevadaOregonUtahWashingtonWyoming
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 10/19/2001
Series 63
Uniform Securities Agent State Law Examination
Passed 2/3/1993
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 2/1/1993
Series 24
General Securities Principal Examination
Passed 10/16/2013

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Account minimum: $100,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

Dearborn Partners L.L.C. Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

DEARBORN PARTNERS L.L.C.Current
7/9/2020Manhattan Beach, CA
QUASAR DISTRIBUTORS, LLCCurrent
7/8/2020Manhatten Beach, CA
DELAWARE CAPITAL MANAGEMENT ADVISERS, INC
11/25/20143/7/2019Philadelphia, PA
TCW INVESTMENT MANAGEMENT CO
1/22/200311/19/2014Los Angeles, CA
PUTNAM INVESTMENT MANAGEMENT, LLC
11/8/200111/4/2002Boston, MA

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Roger 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.

Roger Diaz - Financial Advisor in Manhattan Beach, CA | AdvisorFinder