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Craig Watanabe, Cfp Aif Cscp

Director of IA Compliance at Diversify Advisor Network
Intro Book
Craig Watanabe, a seasoned financial expert with 6+ years of experience in compliance, financial planning, and asset management, holds a Bachelor of Arts degree from UCLA and is proficient in multiple languages.
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Location
Los Angeles Metropolitan Area, US
Skills
  • Compliance
  • Financial Planning
  • Asset Management
  • Retirement Planning
  • Securities
  • Show all
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Bio

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I am Craig Watanabe, a Certified Financial Planner (CFP), Accredited Investment Fiduciary (AIF), and Certified Supply Chain Professional (CSCP), based in La Canada Flintridge, California. With over 25 years of experience in financial services, I currently serve as the Director of IA Compliance at DFPG Investments, LLC, where I ensure adherence to compliance standards. My previous roles include Chief Compliance Officer at American Financial Network and Financial Advisor at Penniall & Associates, where I specialized in comprehensive financial planning and investment management. I hold a Bachelor of Arts degree from the University of California, Los Angeles. Fluent in English, I possess strong skills in compliance, asset management, retirement planning, and public speaking, which I leverage to help clients achieve their financial goals.

Credentials

  • Certified Securities Compliance Professional (CSCP)
    National Society of Compliance Professionals (NSCP)
    Jan, 2010
    - Jun, 2026
  • Accredited Investment Fiduciary (AIF)
    FI360
    Feb, 2009
    - Jun, 2026
  • Certified Financial Planner (CFP)
    CFP Board
    Dec, 1985
    - Jun, 2026
  • CA Life, Health & Disability Insurance License
    California
    Apr, 1984
    - Jun, 2026
  • Unenrolled Tax Preparer
    IRS
    Jan, 1984
    - Jun, 2026
  • FINRA Series 3, 4, 7, 24, 27, 53, 55, 63, 65, 87
    FINRA
    Aug, 1983
    - Jun, 2026

Experience

  • Diversify Advisor Network
    • Salt Lake City, Utah, United States
    • Director of IA Compliance
      • Apr 2018 - Present
      • Salt Lake City, Utah, United States

      Diversify Advisory Services, LLC was spun off from DFPG Investments, LLC in 2024

  • American Financial Network Advisory Services, LLC.
    • Calabasas, CA
    • Chief Compliance Officer
      • Aug 2017 - Mar 2018
      • Calabasas, CA
  • Penniall & Associates, Inc.
    • Pasadena, California
    • Financial Advisor
      • Jun 2008 - Sep 2017
      • Pasadena, California

      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 managem...

  • Core Compliance & Legal Services, Inc.
    • Greater Los Angeles Area, CA
    • Senior Compliance Consultant
      • May 2015 - Jul 2017
      • Greater Los Angeles Area, CA

      Assisted BDs and RIAs with their compliance programs through a broad array of outsourcing and consulting services.

  • Advisor Solutions Group
    • Newport Beach, CA
    • Senior Compliance Consultant
      • Jul 2014 - Apr 2015
      • Newport Beach, CA

      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 registratio...

  • Western International Securities
    • Pasadena, California
    • COO
      • Jul 1996 - Jun 2008
      • Pasadena, California

      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 wh...

  • Baraban Securities
    • Pasadena, California
    • Branch Manager / Financial Adviser
      • Oct 1982 - Jul 1996
      • Pasadena, California

      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 manag...

Education

  • 1976 - 1980
    University of California, Los Angeles

Suggested Services

This profile is unclaimed. These are suggested service rates with 0% commision upon successful connection

Industry Focus. “Financial Services”

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