Unclaimed Profile

Anna E. Diaz

DOWLING & YAHNKE, LLC·SAN DIEGO, California

SIE, Series 7, Series 66CFPClean record22 years registeredDOWLING & YAHNKE, LLC

12265 EL CAMINO REAL, SAN DIEGO, CA 92130CRD# 4614564Firm CRD# 107672

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Anna E. Diaz · SAN DIEGO, CA

Registration

CRD #4614564 · DOWLING & YAHNKE, LLC · 22 years registered

Brand Profile

Not yet started

Career History

CORIENT

Sep 2022 – present

DOWLING & YAHNKE, LLC

Nov 2018 – Mar 2023

SAN DIEGO, CA

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Oct 2009 – Nov 2018

SAN DIEGO, CA

BANC OF AMERICA INVESTMENT SERVICES, INC.

Apr 2004 – Oct 2009

SAN DIEGO, CA

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 66

Registration record

First registered · April 20, 2004

Years registered · 22

Professional designation · CFP

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

DOWLING & YAHNKE, LLC

CRD 107672 · SEC 801-29274

AUM

$6.1B

Regulatory assets under management

Employees

4,834 client accounts

Services offered by DOWLING & YAHNKE, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Security ratings or pricing services

Market timing services

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at DOWLING & YAHNKE, LLC →

Introduction

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Frequently Asked Questions

What services does Anna E. Diaz offer?

Anna E. Diaz specializes in Financial Planning, Investment Management. Contact their office in SAN DIEGO, California for a consultation.

What are Anna E. Diaz's credentials?

Anna E. Diaz holds the following professional designations: CFP. These credentials require rigorous education, examination, and ongoing continuing education.

Where is Anna E. Diaz located?

Anna E. Diaz is based in SAN DIEGO, California, working with DOWLING & YAHNKE, LLC. Their office serves clients in the SAN DIEGO metropolitan area and surrounding communities.

How does Anna E. Diaz charge for services?

Anna E. Diaz's firm is compensated through percentage of aum, hourly charges. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is DOWLING & YAHNKE, LLC?

DOWLING & YAHNKE, LLC has approximately 56 employees and manages $6.1B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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