Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Diana? Claim Your ProfileDiana Goodman is a financial advisor with Raymond James & Associates, Inc. with over 13 years of experience in the financial services industry. Diana is registered with the Financial Industry Regulatory Authority (FINRA) and holds Series 7 and Series 63 licenses as well as the Securities Industry Essentials Examination (SIE). Diana has a proven track record of providing comprehensive financial planning and investment management services to individuals, families, and businesses. Diana is committed to helping clients achieve their financial goals through personalized service and a deep understanding of their unique needs.
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.
Please see note in schedule d - miscellaneous
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
TN
08/29/2017 - Present
Raymond James & Associates, Inc. (MEMPHIS TN)
TN
09/25/2012 - 06/06/2016
RAYMOND JAMES & ASSOCIATES, INC. (MEMPHIS TN)
TN
07/06/2010 - 03/14/2013
MORGAN KEEGAN & COMPANY, INC. (MEMPHIS TN)
TN
12/16/2009 - 07/07/2010
AMERIPRISE FINANCIAL SERVICES, INC. (CORDOVA TN)
BC
Issued 08/07/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/15/2009
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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