Craig Watanabe, CFP, CSCP

Mr. Watanabe has been a Financial Adviser and the Director of IA Compliance at DFPG Investments, LLC / Diversify Advisory Services, LLC. (“DFPG/DAS”) since April 2018. Mr. Watanabe entered the securities industry in 1983 and has been a successful financial planner, Branch Manager, Operations Manager, Chief Compliance Officer and Chief Operating Officer. Mr. Watanabe has broker-dealer and investment adviser compliance experience covering retail brokerage, market making, research, investment banking. insurance, commodities, retail investment advisory and ERISA plans. In his current role as a financial adviser with DFPG/DAS, Mr. Watanabe works with clients to assist in growing and protecting their assets and planning to meet their financial objectives.

Mr. Watanabe served on the FINRA District 2 Committee from 2008-11 and was Chairman of the Committee in 2011. He also served six years on the NSCP Board of Directors and was Chairman of the Board in 2013. In 2020 Mr. Watanabe was the recipient of the NSCP Joan Hinchman Award for lifetime dedication to the compliance profession. Mr. Watanabe is a frequent speaker at conferences and has authored numerous articles and training modules for financial professionals.

Securities are offered through DFPG Investments, LLC, Member FINRA and SIPC. Advisory services are offered through Diversify Advisory Services, LLC, an investment adviser registered with the U.S. Securities and Exchange Commission.