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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

DIANA DIAZ

Advisor at OPPENHEIMER & CO. INC.

THE WOODLANDS, TX

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Search this name across graphsid dfx:ria:7c218705-dac9-160b-e833-eefbab145b88

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:36 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Jan 7, 2005 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: OPPENHEIMER & CO. INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 21, 2004earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Dec 21, 2004
First registration: Jan 7, 2005
Dual registered: yes, broker-dealer
Other names: DIANA MARIA DIAZ|DIANA DIAZ
IAPD individual key: 4869354

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
OPPENHEIMER & CO. INC.	Bd affiliated wealth	Jun 29, 2026	n/a	yes	THE WOODLANDS, TX	Current employment
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Apr 1, 2024	Jun 22, 2026	no	HOUSTON, TX\|Conroe, TX	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 3, 2011	Apr 3, 2024	no	HOUSTON, TX\|HOUSTON, TX\|HOUSTON, TX\|HOUSTON, TX\|AUSTIN, TX\|SPRING, TX\|HOUSTON, TX\|SAN ANTONIO, TX\|TYLER, TX\|HOUSTON, TX\|TYLER, TX\|HOUSTON, TX	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Jan 7, 2005	Jan 3, 2011	no	HOUSTON, TX\|HOUSTON, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
AMERIPRISE FINANCIAL SERVICES, LLC	OPPENHEIMER & CO. INC.	Jun 22, 2026	Jun 29, 2026	7	Firm change	Ibd to ibd
WELLS FARGO ADVISORS	AMERIPRISE FINANCIAL SERVICES, LLC	Apr 3, 2024	Apr 1, 2024	-2	Firm change	Wirehouse to ibd
WELLS FARGO INVESTMENTS, LLC	WELLS FARGO ADVISORS	Jan 3, 2011	Jan 3, 2011	0	Bulk transfer	Other

Relationships

Registered with (4)

→ OPPENHEIMER & CO. INC.Registered adviserregistration: current employment
Jun 29, 2026 to presentfactForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Apr 1, 2024 to Jun 22, 2026factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 3, 2011 to Apr 3, 2024factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Jan 7, 2005 to Jan 3, 2011factForm ADV

Dated events

Occurred
Jun 22, 2026
Advisor changed firm
Diana Diaz left Ameriprise Financial Services, Llc for Oppenheimer & Co. Inc. (registered 2026-06-29)
Form ADVobserved 6 days ago
Occurred
Apr 3, 2024
Advisor changed firm
Diana Diaz left Wells Fargo Advisors for Ameriprise Financial Services, Llc (registered 2024-04-01)
Form ADVobserved 6 days ago