Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Diane? Claim Your ProfileDiane Elizabeth McGovern is a financial advisor with over 30 years of experience in the industry. Diane is registered with Raymond James & Associates, Inc. and is licensed to provide investment advice in Illinois and Texas. Previously, Diane was employed at Morgan Stanley DW INC., PRINCIPAL FINANCIAL SECURITIES,INC., and HAMILTON INVESTMENTS, INC.. Diane holds FINRA Series 7, 63, and 65 licenses as well as the SIE exam. Diane is committed to providing her clients with personalized financial advice and services to help them achieve their financial goals.
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
IL
06/01/2021 - Present
Raymond James & Associates, Inc. (Chicago IL)
NY
10/03/1994 - 02/06/2006
MORGAN STANLEY DW INC. (PURCHASE NY)
TX
09/01/1994 - 10/19/1994
PRINCIPAL FINANCIAL SECURITIES,INC. (DALLAS TX)
NA
09/05/1991 - 09/01/1994
HAMILTON INVESTMENTS, INC.
IA
Issued 11/09/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/26/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/06/1991
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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