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Diana Maria Sheets

Cetera Investment Services LLC

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About Diana Maria Sheets

Diana Maria Sheets is a financial professional with over 20 years of experience in the industry. She has been with Cetera Investment Services LLC since January 31, 2013. Previously, Diana worked at Morgan Keegan & Company, Inc. and AmSouth Investment Services, Inc. She holds the Series 7 and SIE licenses.

Firm Information

Diana Sheets is currently registered with Cetera Investment Services LLC. Cetera Investment Services LLC is a Limited Liability Company formed on November 30, 2012, and approved to operate in 53 states and the District of Columbia. The firm has 1 approved SEC registration and 53 approved state registrations. Cetera Investment Services LLC has a history of regulatory events (11 reported) and arbitration disclosures (3 reported).

Not reported

Assets Under Management

Not reported

Total Clients

372

Total Financial Advisors

Services Offered

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.

Fee Structure

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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Diana Sheets’s Registration & Firm History

AL

01/31/2013 - Present

Cetera Investment Services LLC (HOOVER AL)

AL

02/13/2007 - 03/31/2012

MORGAN KEEGAN & COMPANY, INC. (BIRMINGHAM AL)

AL

08/31/1999 - 02/13/2007

AMSOUTH INVESTMENT SERVICES, INC. (BIRMINGHAM AL)

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Licenses & Designations

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/30/1999

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Diana Maria Sheets.
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