Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Diane? Claim Your ProfileDiane Rook-johnson is a financial advisor with Independent Financial Group, LLC, a firm with over 500 licensed agents and representatives. Diane has been in the industry since 1996, and has experience working with a wide range of clients, including individuals, families, businesses, and charitable organizations. She provides financial planning, portfolio management, and pension consulting services. Diane is registered in 10 states and holds several licenses and certifications, including Series 63, 24, 7, and SIE. She is committed to providing her clients with personalized financial advice that helps them achieve their 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.
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.
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.
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2
MN
06/13/2014 - Present
Independent Financial Group, LLC (Pequot Lakes MN)
MN
02/28/2012 - 06/16/2014
CETERA ADVISORS LLC (BAXTER MN)
MN
06/02/2003 - 02/28/2012
PACIFIC WEST SECURITIES, INC. (BAXTER MN)
AZ
04/18/1996 - 06/09/2003
SENTRA SECURITIES CORPORATION (PHOENIX AZ)
BC
Issued 03/22/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/02/2004
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/17/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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