Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Diana? Claim Your ProfileDiana Slopow is a financial professional with over 10 years of experience in the industry. Diana has a broad range of experience, having worked for both large and small firms in different industries. Her most recent position was at Morgan Stanley in Alexandria, Virginia. Diana is currently registered as a Registered Representative (RR) with RBC Capital Markets, LLC. She is also registered as an Investment Adviser Representative (IAR) in Texas, Maryland and the District of Columbia. Diana holds the Series 7, 63 and 65 licenses. She specializes in providing financial planning, portfolio management and pension consulting services to individuals, businesses, trusts, and pension and profit-sharing plans.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
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2
DC
04/29/2024 - Present
RBC Capital Markets, LLC (WASHINGTON DC)
VA
03/28/2022 - 06/06/2023
MORGAN STANLEY (Alexandria VA)
IA
Issued 04/07/2023
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/11/2023
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/28/2022
Series 7TO - General Securities Representative Examination
BC
Issued 11/29/2021
SIE - Securities Industry Essentials Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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