Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Diana? Claim Your ProfileDiana Dalton Stieffel is an active financial advisor. Diana has been in the financial industry since November 27, 1987 and is currently registered with UBS Financial Services Inc. Diana is licensed in 32 states including Alabama, Arkansas, California, Colorado, Connecticut, District of Columbia, Florida, Georgia, Illinois, Indiana, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Minnesota, Mississippi, Missouri, Nevada, New Jersey, New Mexico, New York, North Carolina, Ohio, Oregon, Pennsylvania, Rhode Island, South Carolina, Tennessee, Texas, Virginia, and West Virginia. Diana has passed the Series 7, Series 63, and SIE exams. Prior to working with UBS Financial Services Inc. Diana was with MORGAN KEEGAN & COMPANY, INC. from January 10, 1997 to January 12, 2009, MARQUIS INVESTMENTS, L.L.C. from November 23, 1990 to January 20, 1997 and LEHMAN BROTHERS INC. from November 25, 1987 to November 19, 1990.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
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.
See schedule d - miscellaneous
1
2
LA
11/07/2012 - Present
UBS Financial Services Inc. (NEW ORLEANS LA)
LA
01/10/1997 - 01/12/2009
MORGAN KEEGAN & COMPANY, INC. (NEW ORLEANS LA)
NA
11/23/1990 - 01/20/1997
MARQUIS INVESTMENTS, L.L.C.
NY
11/25/1987 - 11/19/1990
LEHMAN BROTHERS INC. (NEW YORK NY)
BC
Issued 01/12/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/21/1987
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Diana Stieffel is the right advisor for you? Invested Better is here to help.
