Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Diane? Claim Your ProfileDiane Finch is a financial advisor who has been in the industry since 2003. She is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and has previously worked with Citigroup Global Markets Inc., MORGAN STANLEY, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, PRUCO SECURITIES, LLC., NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC, PARK AVENUE SECURITIES LLC, and SALOMON SMITH BARNEY INC. Diane holds several licenses and designations including Series 63, Series 65, Series 7, Series 9, Series 10, Series 24, and Series 52TO. Diane is also registered with the State of Texas and Florida.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
FL
09/23/2024 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PALM BEACH GARDENS FL)
FL
09/07/2023 - 08/22/2024
CITIGROUP GLOBAL MARKETS INC. (Ft. Lauderdale FL)
FL
05/18/2022 - 07/12/2023
MORGAN STANLEY (Boca Raton FL)
FL
09/20/2017 - 04/04/2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BOCA RATON FL)
NJ
02/21/2013 - 01/05/2016
PRUCO SECURITIES, LLC. (ISELIN NJ)
FL
10/12/2011 - 01/02/2013
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (FT LAUDERDALE FL)
NY
05/01/2002 - 09/21/2011
PARK AVENUE SECURITIES LLC (RYE BROOK NY)
NY
07/18/2000 - 09/24/2001
SALOMON SMITH BARNEY INC. (NEW YORK NY)
IA
Issued 01/22/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/19/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/16/2012
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/23/2012
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/28/2002
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/17/2000
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Diane Finch is the right advisor for you? Invested Better is here to help.
