Summary
Overview
Work History
Education
Skills
Certification
Professional Affiliations & Executive Board Member
Timeline
Hi, I’m

Gerardo C Diaz

Fresno,CA
Gerardo C Diaz

Summary

Results-driven financial consultant with a proven track record in delivering tailored financial planning, portfolio management, and high-touch client advisory services. Demonstrates advanced proficiency in developing comprehensive short- and long-term strategies designed to optimize wealth accumulation, risk management, and capital preservation.Brings a deep understanding of investment management, stock market performance, and capital markets analysis, with a strong foundation in asset allocation, portfolio diversification, and macroeconomic evaluation. Adept at aligning client objectives with market opportunities through a disciplined, data-driven planning approach.Recognized for streamlining operational workflows, enhancing client engagement, and driving consistent revenue growth across multiple financial services platforms. Strengths include strategic planning, analytical insight, cross-disciplinary collaboration, and superior relationship management.

Overview

10
years of professional experience
1
Certification

Work History

LPL Financial | Prudential Financial

Capital Markets & Wealth Specialist
10.2024 - Current

Job overview

  • Comprehensive Wealth & Retirement Planning - Developed and executed customized financial strategies encompassing retirement income planning, tax-efficient wealth accumulation, and estate preservation. Conducted holistic financial reviews to align client objectives with evolving market conditions and regulatory frameworks.
  • Portfolio Design & Risk-Managed Structuring - Constructed diversified investment and insurance portfolios integrating mutual funds, ETFs, annuities, and advanced life insurance solutions (Term, Whole Life, IUL). Balanced asset growth with risk mitigation to build resilient, long-term financial security for individuals and multi-generational families.
  • High-Touch Client Advisory & Relationship Management - Delivered data-driven financial consultations in both virtual and in-person settings, building long-term client trust through consistent reviews, transparent education, and proactive strategy updates. Maintained a 95%+ client retention rate through value-based advisory services.
  • Collaborative Financial Planning with Legal & Tax Professionals - Partnered with CPAs, estate attorneys, and internal planners to create integrated financial roadmaps. Ensured tax-optimized, legally compliant wealth transfer strategies covering legacy creation, charitable giving, and advanced trust structures.

Global Wealth Finance Inc.

Chief Executive Officer
05.2020 - Current

Job overview

  • Strategic Vision & Growth Leadership - As CEO, I define and drive the long-term vision and strategic roadmap for both Global Wealth Finance and Global Wealth Insurance Agency. I lead innovation in wealth planning and fixed insurance solutions, ensuring alignment with evolving market trends and the financial needs of the families we serve.
  • Executive Carrier Relations & Institutional Partnerships - Oversee and strengthen strategic alliances with Fortune 500 insurance carriers and financial institutions. Negotiate high-level contracts and secure elite MGA status to provide clients and agents with access to premier annuity and life insurance products.
  • Regulatory Compliance & Risk Governance - Direct firm-wide compliance operations, including licensing, E&O insurance, and adherence to state and federal regulatory standards. Establish ethical frameworks and enforce oversight protocols across all internal advisors and agency affiliates.
  • Talent Acquisition & Performance Leadership - Recruit, mentor, and lead a high-performing team of licensed agents, financial professionals, and executive leaders. Drive a culture of excellence through systems-based training, leadership development, and scalable operational models.

Global Financial Impact Inc.

Regional Vice President (RVP)
07.2015 - 12.2019

Job overview

  • · Regional Sales Leadership - Directed multi-agency sales initiatives across a defined region, setting performance benchmarks, tracking metrics, and executing strategic plans to drive premium growth and increase agent productivity. Collaborated with agency leaders to align regional goals with national objectives.
  • Organizational Leadership & Scalable Growth Execution - Directed daily operations and strategic planning for a team of 50+ licensed financial professionals. Engineered scalable growth through targeted lead-generation systems, production tracking, and regional expansion initiatives—driving increased revenue and market share.
  • Training Infrastructure & Agent Development - Designed and implemented a performance-focused onboarding and training ecosystem covering financial products, compliance protocols, and consultative sales practices. Elevated agent competence and retention through continuous education and real-time coaching.
  • Performance Optimization & Sales Enablement - Established data-driven coaching systems and KPIs to improve agent productivity, close rates, and client outcomes. Leveraged insights to tailor mentorship strategies, resulting in measurable increases in revenue, compliance accuracy, and customer satisfaction.
  • Digital Systems Implementation & Workflow Automation - Led the deployment of enterprise CRM and digital sales platforms to automate agent workflows, streamline compliance, and optimize lead management. Enhanced operational efficiency and improved visibility across the full sales cycle.

Education

Fresno City College
Fresno, CA

Associate of Arts from Business Administration And Management
03-2021

Clovis Adult School
Clovis, CA

GED
03-2018

Skills

  • Comprehensive Financial Planning & Portfolio Design
  • Advanced Risk Management & Asset Allocation Strategies
  • Strategic Leadership in Financial Services Distribution
  • Client-Centered Consultative Sales & Wealth Advisory
  • Insurance & Investment Product Expertise
  • CRM Systems Integration & Digital Operations Management
  • Business Development & Strategic Market Expansion
  • Capital Markets Analysis & Investment Strategy Development
  • High-Net-Worth Wealth Planning & Asset Preservation
  • Talent Development & Field Force Enablement

Certification

  • Capital Markets & Securities Analyst (CMSA®)
  • Chartered Financial Modeling Professional (CFMP™)
  • Financial Planning & Analysis Professional (FPAP™)
  • Financial Planning & Wealth Management Professional (FPWMP®)
  • Commercial Banking & Credit Analyst (CBCA®)
  • Life Insurance License - CA Department of Insurance
  • Technology Tools - CRMs, Illustration Software, quoting tools
  • FINRA/SIE Licenses (In Development)
  • FINRA / Series 7 & 66 (In Development )

Professional Affiliations & Executive Board Member

FINSECA (Financial Security for All)

FINSECA represents the highest standard of excellence in the financial services profession. As an active member, I contribute to their mission of:

  • Elevating the profession through ethical leadership and elite development
  • Accelerating business success via strategic resources and industry best practices
  • Advocating for financial security at state and federal levels to protect American families and small businesses

Through FINSECA, I remain at the forefront of legislative reform, ethical innovation, and leadership development in the capital markets and insurance space.

NAIFA (National Association of Insurance and Financial Advisors)

As part of NAIFA’s grassroots network, I work alongside financial professionals to:

  • Advocate for pro-growth financial policies and regulatory protections
  • Maintain fiduciary-level ethical standards
  • Access exclusive tools and continuing education that enhance client trust, risk management, and wealth planning strategies

NAIFA reinforces my commitment to integrity, compliance, and financial empowerment for individuals and business owners alike.

FPA (Financial Planning Association)

The FPA unites certified financial planners and advanced financial professionals under a shared mission to:

  • Provide CFP®-level planning standards
  • Promote client-first fiduciary practices
  • Foster collaboration and innovation within the financial advisory space

My involvement in FPA strengthens my technical expertise across comprehensive planning, retirement strategies, wealth preservation, and capital markets analysis—directly aligning with high-impact, client-centric financial advising roles.

Timeline

Capital Markets & Wealth Specialist

LPL Financial | Prudential Financial
10.2024 - Current

Chief Executive Officer

Global Wealth Finance Inc.
05.2020 - Current

Regional Vice President (RVP)

Global Financial Impact Inc.
07.2015 - 12.2019

Fresno City College

Associate of Arts from Business Administration And Management

Clovis Adult School

GED

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