Homero Diaz has been an investment adviser representative at Castleview Partners since June 2020, and is not listed among the firm’s executive officers or direct owners.
Castleview Partners, LLC is a Dallas, TX firm with $417M under management, 594 clients and 12 advisers across 6 offices, as of its May 2026 filing.
Homero Diaz is Financial Advisor of Castleview Partners. He joined Castleview Partners in June 2020 and specializes in holistic financial planning for high-net-worth families and business owners, integrating investment, risk and succession strategies in collaboration with legal and tax professionals. He also serves as VP of Enterprise Growth & Operations at Castleview.
Homero Diaz’s longest registration is the current one, 6 years at Castleview Partners since 2020. Before joining Castleview Partners in 2020, Homero Diaz was registered through Advisory Investor Services LLC and HSBC Securities (USA) Inc.
- Castleview Partners, LLCCurrent– present · 6 yearsCoral Gables, FL · Adviser representative · Firm CRD 281410
- Advisory Investor Services LLC– · under a yearWeston, FL · Adviser representative · Firm CRD 173134
- HSBC Securities (USA) Inc.– · 3 yearsMiami, FL · Adviser representative · Firm CRD 19585
- Merrill Lynch, Pierce, Fenner & Smith Incorporated– · 3 yearsMiami, FL · Adviser representative · Firm CRD 7691
Investment adviser representative registrations
Homero Diaz is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from July 2020; the most recent is Texas, in September 2022.
- FloridaSince 14 July 2020
- TexasResidentSince 28 September 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 6 July 2012 |
| Series 7 | General Securities Representative Examination | 29 May 2012 |
| Series 63 | Uniform Securities Agent State Law Examination | 29 July 2011 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 19 January 2010 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Homero Jose Diaz
- CRD
- 5737174
- Firm
- Castleview Partners · CRD 281410
- Office
- 814 Ponce de Leon, Suite 500, Coral Gables, FL 33134
- Registration
- Investment adviser registration
- In the industry since
- August 2010
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- castleviewpartners.com
Where does Homero Diaz work?
Homero Diaz is an investment adviser representative registered through Castleview Partners, LLC since June 2020, and is not listed among the firm’s executive officers or direct owners.
Is Homero Diaz a financial advisor?
Yes. Homero Diaz has a current investment-adviser registration in Florida and Texas, through Castleview Partners since June 2020.
How many years of experience does Homero Diaz have?
Homero Diaz has 16 years in the financial industry, since August 2010, across 4 adviser firms.
What exams has Homero Diaz passed?
Homero Diaz has passed 4 licensing exams: the Series 6, Series 63, Series 7 and Series 66. The earliest, the Series 6, was passed in January 2010. FINRA credited Homero Diaz with the SIE, which began in October 2018.
Where did Homero Diaz work before Castleview Partners?
Before Castleview Partners, Homero Diaz was registered through Advisory Investor Services LLC, March 2020 to April 2020; HSBC Securities (USA) Inc., July 2016 to October 2019; Merrill Lynch, Pierce, Fenner & Smith Incorporated, July 2012 to July 2016.
Where is Homero Diaz based?
Homero Diaz’s registered office is in Coral Gables, FL.
Is Homero Diaz registered with FINRA?
No. Homero Diaz has no current broker registration.
How can I verify Homero Diaz’s record?
Search CRD 5737174 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Homero Diaz’s full registration record.
