Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Diana? Claim Your ProfileDiana Lynn Walters is a financial advisor with Cetera Advisors LLC. Diana has been in the industry since January 4, 2008, with experience at several firms including Charles Schwab & Co., Inc., UBS Securities LLC, UBS Capital Markets L.P., Pershing Trading Company, L.P. and American Express Financial Advisors Inc. Diana holds the Series 7, Series 55, Series 57TO, SIE and Series 66 licenses. Diana is registered with the state of New Jersey.
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.
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.
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2
NJ
08/19/2013 - Present
Cetera Advisors LLC (RED BANK NJ)
NJ
11/06/2009 - 07/12/2011
CHARLES SCHWAB & CO., INC. (JERSEY CITY NJ)
NY
08/26/2005 - 11/19/2008
UBS SECURITIES LLC (NEW YORK NY)
CT
08/10/2005 - 02/15/2006
UBS CAPITAL MARKETS L.P. (STAMFORD CT)
NJ
03/16/2005 - 07/21/2005
PERSHING TRADING COMPANY, L.P. (JERSEY CITY NJ)
MN
11/11/2004 - 03/04/2005
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
11/11/2004 - 03/04/2005
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BOTH
Issued 12/07/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/22/2007
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 11/10/2004
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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