Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Diana? Claim Your ProfileDiana Kay Perez is a financial advisor with over 16 years of experience in the industry. Diana is registered with Raymond James Financial Services Advisors, Inc., and holds a variety of licenses and certifications, including Series 7, 9, 10, 55, 63, and 65. Previously, Diana was a financial advisor with J.J.B. Hilliard, W.L. Lyons, LLC., Robert W. Baird & Co. Incorporated, Private Client Services, LLC, and Morgan Stanley. Diana specializes in working with a range of clients, including high-net-worth individuals, corporations, and pension and profit-sharing plans. Diana provides a variety of financial services, including financial planning, portfolio management, and educational seminars.
Lanesville, IN
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.
Hourly & fixed rate consultations
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.
Per participant (erisa)
1
2
IN
02/14/2023 - Present
Raymond James Financial Services Advisors, Inc. (Lanesville IN)
FL
02/14/2023 - 03/15/2024
RAYMOND JAMES & ASSOCIATES, INC. (ST. PETERSBURG FL)
KY
07/04/2022 - 01/09/2023
MORGAN STANLEY (Louisville KY)
KY
11/06/2019 - 06/21/2022
PRIVATE CLIENT SERVICES, LLC (LOUISVILLE KY)
KY
10/18/2019 - 11/06/2019
ROBERT W. BAIRD & CO. INCORPORATED (LOUISVILLE KY)
KY
01/01/2007 - 10/18/2019
J.J.B. HILLIARD, W.L. LYONS, LLC (LOUISVILLE KY)
IA
Issued 11/30/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 5/10/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/30/2017
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 1/6/2017
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 1/2/2023
Series 57TO - Securities Trader Exam
BC
Issued 1/2/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/27/2012
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 12/28/2006
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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