Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Diana? Claim Your ProfileDiana Newlyn is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Diana has been working in the financial services industry since February 4, 2009. Diana has a Series 7, Series 6, Series 9, Series 10, Series 66, and SIE licenses. Diana has a bachelor's degree in Business Administration from the University of North Florida. Diana is registered to provide investment advisory services in Texas and Florida.
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
MI
11/15/2021 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (FARMINGTON HILLS MI)
FL
12/08/2008 - 06/11/2010
PRUCO SECURITIES, LLC. (JACKSONVILLE FL)
BOTH
Issued 09/08/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/03/2021
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/24/2019
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/09/2010
Series 7 - General Securities Representative Examination
BC
Issued 12/05/2008
Series 6 - Investment Company Products/Variable Contracts Representative 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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