Karell P Diaz
Investment adviser representative at Merrill Lynch, Pierce, Fenner & Smith Incorporated
10 yearsExperience
2 statesRegistered in
$1.8TFirm assets
47 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsFixed or flat feeCommissions
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
10 years in the industry.
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedApr 2019 to now
- Associated BankJul 2018 to Apr 2019
- UnemployedJun 2018 to Jun 2018
- 211 San DiegoJan 2018 to Aug 2018
- SprintDec 2017 to Jan 2018
- UnemployedNov 2017 to Dec 2017
- Chase BankMay 2017 to Nov 2017
- Booking.comSep 2016 to May 2017
Exams passed
- Series 66 · Uniform Combined State Law2019
State registrations
Registered as an investment adviser representative in 2 states (IL, TX).
Merrill Lynch, Pierce, Fenner & Smith Incorporated
$1.8TAssets managed
1,838,984Clients
25,558Advisers
47 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 7096378
- Firm CRD
- 7691