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RIA / WealthAdvisor18 years in industry

FERNANDO DIAZ

Advisor at PROTA FINANCIAL

HOUSTON, TX

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Search this name across graphsid dfx:ria:cb5b14ab-0858-d5e1-7d44-a33d7d138ebb

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:23 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Oct 17, 2008 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: PROTA FINANCIAL
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 10, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Sep 10, 2008
First registration: Oct 17, 2008
Dual registered: no
IAPD individual key: 4683164

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
PROTA FINANCIAL	Independent wealth	Aug 9, 2017	n/a	yes	HOUSTON, TX	Current employment
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Feb 1, 2017	Jun 30, 2017	no	HOUSTON, TX	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	May 31, 2013	Feb 8, 2017	no	HOUSTON, TX\|HOUSTON, TX\|HOUSTON, TX\|HOUSTON, TX\|HOUSTON, TX\|HOUSTON, TX	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jun 10, 2010	May 28, 2013	no	HOUSTON, TX\|HOUSTON, TX\|HOUSTON, TX\|AUSTIN, TX\|HOUSTON, TX\|HOUSTON, TX	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Nov 20, 2009	Jun 16, 2010	no	HOUSTON, TX	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Oct 12, 2009	no	Houston, TX	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Oct 17, 2008	Jun 1, 2009	no	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	PROTA FINANCIAL	Jun 30, 2017	Aug 9, 2017	40	Firm change	Ibd to RIA
J.P. MORGAN SECURITIES LLC	AMERIPRISE FINANCIAL SERVICES, LLC	Feb 8, 2017	Feb 1, 2017	-7	Firm change	Wirehouse to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	J.P. MORGAN SECURITIES LLC	May 28, 2013	May 31, 2013	3	Firm change	Wirehouse to wirehouse
CHASE INVESTMENT SERVICES CORP.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jun 16, 2010	Jun 10, 2010	-6	Firm change	Other
MORGAN STANLEY	CHASE INVESTMENT SERVICES CORP.	Oct 12, 2009	Nov 20, 2009	39	Firm change	Other
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other

Relationships

Registered with (7)

→ PROTA FINANCIALRegistered adviserregistration: current employment
Aug 9, 2017 to presentfactForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Feb 1, 2017 to Jun 30, 2017factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
May 31, 2013 to Feb 8, 2017factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jun 10, 2010 to May 28, 2013factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Nov 20, 2009 to Jun 16, 2010factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Oct 12, 2009factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Oct 17, 2008 to Jun 1, 2009factForm ADV

Dated events

No dated event names this entity yet.