Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Diana? Claim Your ProfileDiana Dorn is a financial advisor registered with Stifel, Nicolaus & Company, Inc.. Diana has been working in the financial services industry since 1985. Diana has a long history of working with individuals, businesses, high net worth individuals, and retirement plans. Diana is registered to provide investment advice in all states. Diana is a Series 7, 63, 65, 24, 4, 8, 9, 10, and 53 licensed principal. Diana is also a SIE licensed representative.
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.
1
2
CA
01/27/2012 - Present
Stifel, Nicolaus & Company, Inc. (SAN FRANCISCO CA)
CA
01/03/2011 - 05/17/2012
THOMAS WEISEL PARTNERS LLC (SAN FRANCISCO CA)
CA
01/03/2011 - 01/04/2011
STIFEL, NICOLAUS & COMPANY, INCORPORATED (SAN FRANCISCO CA)
CA
10/29/2010 - 12/22/2010
LORING WARD SECURITIES INC. (SAN JOSE CA)
MA
04/26/2010 - 08/30/2010
ASSOCIATED SECURITIES CORP. (BOSTON MA)
MA
04/26/2010 - 08/30/2010
MUTUAL SERVICE CORPORATION (BOSTON MA)
MA
04/26/2010 - 08/30/2010
WATERSTONE FINANCIAL GROUP, INC. (BOSTON MA)
NC
06/22/2009 - 08/30/2010
UVEST FINANCIAL SERVICES GROUP, INC. (CHARLOTTE NC)
CA
11/22/2005 - 08/30/2010
LPL FINANCIAL CORPORATION (SAN DIEGO CA)
CA
06/13/2005 - 08/19/2005
FIRST ALLIED SECURITIES, INC. (SAN DIEGO CA)
CA
01/19/2001 - 06/13/2005
ROUND HILL SECURITIES, INC. (ALAMO CA)
IL
05/27/2004 - 09/17/2004
ADVANCED EQUITIES, INC. (CHICAGO IL)
CA
11/24/1999 - 03/29/2000
MR. STOCK, INC. (SAN FRANCISCO CA)
MN
02/08/1999 - 11/05/1999
NORWEST INVESTMENT SERVICES, INC. (MINNEAPOLIS MN)
CA
11/22/1994 - 11/05/1999
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
TX
09/21/1983 - 11/02/1994
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
IA
Issued 11/17/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/22/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/29/1996
Series 53 - Municipal Securities Principal Examination
BC
Issued 12/27/1994
Series 24 - General Securities Principal Examination
BC
Issued 10/02/1989
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 06/25/1985
Series 4 - Registered Options Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/17/1983
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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