AeroLeads people directory · profile
Craig Watanabe, Cfp Aif Cscp Email & Phone Number
Director of IA Compliance
at
Diversify Advisor Network
1 work email found
@dfpg.com
2 phones found area 626
LinkedIn matched
✓ Verified May 2026
4 data sources
Profile completeness 100%
Current company
Role
Director of IA Compliance
Location
Los Angeles Metropolitan Area, United States, United States
Company size
Who is Craig Watanabe, Cfp Aif Cscp? Overview
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Quick answer
Craig Watanabe, Cfp Aif Cscp is listed as Director of IA Compliance at Diversify Advisor Network, a company with 15 employees, based in Los Angeles Metropolitan Area, United States, United States. AeroLeads shows a work email signal at dfpg.com, phone signal with area code 626, and a matched LinkedIn profile for Craig Watanabe, Cfp Aif Cscp.
Craig Watanabe, Cfp Aif Cscp previously worked as Chief Compliance Officer at American Financial Network Advisory Services, Llc. and Financial Advisor at Penniall & Associates, Inc.. Craig Watanabe, Cfp Aif Cscp holds Bachelor Of Arts from University Of California, Los Angeles.
Company email context
Email format at Diversify Advisor Network
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*@dfpg.com
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AeroLeads found 1 current-domain work email signal for Craig Watanabe, Cfp Aif Cscp. Compare company email patterns before reaching out.
Profile bio
About Craig Watanabe, Cfp Aif Cscp
Compliance Officer - Responsible for designing, implementing and monitoring the firm's investment adviser compliance program. Craig also provides advice to senior management on a variety of matters including securities regulation, business development, and operations.Financial Advisor - Craig helps clients achieve their financial objectives through wealth accumulation (investments, retirement planning) and wealth preservation planning (insurance, tax planning, estate planning). His specialty is managing investment portfolios.Securities offered through DFPG Investments, Inc. ("DFPG"), member FINRA (www.finra.org) and SIPC (www.sipc.org). Advisory services offered through Diversify Advisory Services, LLC ("Diversify"), an investment adviser registered with the U.S. Securities and Exchange Commission. DFPG/Diversify is not responsible for content posted by third parties. DFPG/Diversify and third parties acting on its behalf, reserve the right, to the extent permitted under applicable law, to process, retain and monitor all electronic communications (including personally identifiable information). By sending direct messages and/or posting comments, you unequivocally consent to such processing, retention and monitoring.
Listed skills include Compliance, Financial Planning, Asset Management, Retirement Planning, and 6 others.
Current workplace
Craig Watanabe, Cfp Aif Cscp's current company
Company context helps verify the profile and gives searchers a useful next step.
Diversify Advisor Network
8 roles
Craig Watanabe, Cfp Aif Cscp work experience
A career timeline built from the work history available for this profile.
Director Of Ia Compliance
CurrentDiversify Advisory Services, LLC was spun off from DFPG Investments, LLC in 2024
Apr 2018 - Present
Chief Compliance Officer
American Financial Network Advisory Services, Llc.
Aug 2017 - Mar 2018
Financial Advisor
Helped clients meet their financial objectives by offering comprehensive financial planning. Services included cash flow management & budgeting, risk management, investment management, tax planning & preparation, retirement planning and estate planning. Specialized in portfolio management.
Jun 2008 - Sep 2017
Senior Compliance Consultant
Assisted BDs and RIAs with their compliance programs through a broad array of outsourcing and consulting services.
May 2015 - Jul 2017
Senior Compliance Consultant
Advisor Solutions Group
Assisted RIAs with policy & procedure design, implementation and monitoring. Clients were start-up to mid-size RIAs and typical services include drafting compliance manuals, ADVs, disclosures as well as performing annual compliance reviews. Maintenance services included managing registrations and providing continuous compliance support in meeting the.
Jul 2014 - Apr 2015
Coo
I started at Western International as a Financial Planner and in 2001 became the Chief Compliance Officer. At the time there were approximately 225 advisers. In 2005 I took on the additional responsibilites as Chief Operating Officer with a staff of 30. The firm had a complex business model which provided excellent experience in the areas of Insurance.
Jul 1996 - Jun 2008
Branch Manager / Financial Adviser
Baraban Securities
I attended Baraban's "Learn & Earn" program to attain my securities licenses. After passing the Series 7 I worked in trading and operations and gained valuable experience while acquiring other licenses and designations. In 1986 I became a producing Branch Manager where I managed 40 brokers.
Oct 1982 - Jul 1996
1 education record
Craig Watanabe, Cfp Aif Cscp education
FAQ
Frequently asked questions about Craig Watanabe, Cfp Aif Cscp
Quick answers generated from the profile data available on this page.
What company does Craig Watanabe, Cfp Aif Cscp work for?
Craig Watanabe, Cfp Aif Cscp works for Diversify Advisor Network.
What is Craig Watanabe, Cfp Aif Cscp's role at Diversify Advisor Network?
Craig Watanabe, Cfp Aif Cscp is listed as Director of IA Compliance at Diversify Advisor Network.
What is Craig Watanabe, Cfp Aif Cscp's email address?
AeroLeads has found 1 work email signal at @dfpg.com for Craig Watanabe, Cfp Aif Cscp at Diversify Advisor Network.
What is Craig Watanabe, Cfp Aif Cscp's phone number?
AeroLeads has found 2 phone signal(s) with area code 626 for Craig Watanabe, Cfp Aif Cscp at Diversify Advisor Network.
Where is Craig Watanabe, Cfp Aif Cscp based?
Craig Watanabe, Cfp Aif Cscp is based in Los Angeles Metropolitan Area, United States, United States while working with Diversify Advisor Network.
What companies has Craig Watanabe, Cfp Aif Cscp worked for?
Craig Watanabe, Cfp Aif Cscp has worked for Diversify Advisor Network, American Financial Network Advisory Services, Llc., Penniall & Associates, Inc., Core Compliance & Legal Services, Inc., and Advisor Solutions Group.
How can I contact Craig Watanabe, Cfp Aif Cscp?
You can use AeroLeads to view verified contact signals for Craig Watanabe, Cfp Aif Cscp at Diversify Advisor Network, including work email, phone, and LinkedIn data when available.
What schools did Craig Watanabe, Cfp Aif Cscp attend?
Craig Watanabe, Cfp Aif Cscp holds Bachelor Of Arts from University Of California, Los Angeles.
What skills is Craig Watanabe, Cfp Aif Cscp known for?
Craig Watanabe, Cfp Aif Cscp is listed with skills including Compliance, Financial Planning, Asset Management, Retirement Planning, Securities, Investment Advisory, 401K, and Risk Management.
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