Mia Carla Dizon has been an investment adviser representative at Sage Rhino Capital since March 2022, and is not listed among the firm’s executive officers or direct owners.
Sage Rhino Capital LLC is a Menlo Park, CA firm with $884M under management, 196 clients and 4 advisers in one office, as of its March 2026 filing.
Mia Carla Dizon’s longest registration was 12 years at Merrill Lynch, Pierce, Fenner & Smith Incorporated (2009–2022). Before joining Sage Rhino Capital in 2022, Mia Carla Dizon was registered through Merrill Lynch, Pierce, Fenner & Smith Incorporated and Banc of America Investment Services, Inc.
- Sage Rhino Capital LLCCurrent– present · 4 yearsAnaheim, CA · Adviser representative · Firm CRD 290148
- Merrill Lynch, Pierce, Fenner & Smith Incorporated– · 12 yearsNewport Beach, CA · Adviser representative · Firm CRD 7691
- Banc of America Investment Services, Inc.– · under a yearCosta Mesa, CA · Adviser representative · Firm CRD 16361
Investment adviser representative registrations
Mia Carla Dizon is registered as an investment adviser representative in California, since March 2022.
- CaliforniaSince 15 March 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 7TO | General Securities Representative Examination | 25 April 2024 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 16 October 2009 |
| Series 63 | Uniform Securities Agent State Law Examination | 22 July 2008 |
| Series 7 | General Securities Representative Examination | 14 November 2007 |
- Name
- General Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Mia Carla A Dizon
- CRD
- 5270776
- Firm
- Sage Rhino Capital · CRD 290148
- Office
- Anaheim, CA
- Registration
- Investment adviser registration
- In the industry since
- November 2007
- Disciplinary history
- Not yet shown here · SEC record
Where does Mia Carla Dizon work?
Mia Carla Dizon is an investment adviser representative registered through Sage Rhino Capital LLC since March 2022, and is not listed among the firm’s executive officers or direct owners.
Is Mia Carla Dizon a financial advisor?
Yes. Mia Carla Dizon has a current investment-adviser registration in California, through Sage Rhino Capital since March 2022.
How many years of experience does Mia Carla Dizon have?
Mia Carla Dizon has 18 years in the financial industry, since November 2007, across 3 adviser firms.
What exams has Mia Carla Dizon passed?
Mia Carla Dizon has passed 4 licensing exams: the Series 7, Series 63, Series 66 and Series 7TO. The earliest, the Series 7, was passed in November 2007. FINRA credited Mia Carla Dizon with the SIE, which began in October 2018.
Where did Mia Carla Dizon work before Sage Rhino Capital?
Before Sage Rhino Capital, Mia Carla Dizon was registered through Merrill Lynch, Pierce, Fenner & Smith Incorporated, October 2009 to March 2022; Banc of America Investment Services, Inc., October 2009 to October 2009.
Where is Mia Carla Dizon based?
Mia Carla Dizon’s registered office is in Anaheim, CA.
Is Mia Carla Dizon registered with FINRA?
No. Mia Carla Dizon has no current broker registration.
How can I verify Mia Carla Dizon’s record?
Search CRD 5270776 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Mia Carla Dizon’s full registration record.