Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Diana? Claim Your ProfileDiana Bagley is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Diana is a registered representative with both the BrokerCheck (BC) and the Investment Adviser (IA) regulatory scopes. Diana has been working in the financial industry since June 25, 2019. Diana is a Series 7, Series 63, and Series 65 licensed advisor. Diana is registered to provide financial advice in Arizona, California, Colorado, Florida, Illinois, Minnesota, Mississippi, Nevada, New Jersey, New Mexico, Texas and Utah. Diana has previously worked at Thrivent Investment Management, Inc. in Scottsdale, Arizona. Diana is licensed to provide a variety of financial services including portfolio management, financial planning, education seminars, and research reports and services.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
AZ
08/01/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SCOTTSDALE AZ)
AZ
10/12/2020 - 06/05/2023
THRIVENT INVESTMENT MANAGEMENT INC. (Scottsdale AZ)
BC
Issued 10/31/2020
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 05/07/2019
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/12/2020
Series 7TO - General Securities Representative Examination
BC
Issued 06/30/2020
SIE - Securities Industry Essentials Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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