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Diane Hawkins

American Portfolios Financial Services, Inc.

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About Diane Hawkins

Diane Hawkins is a financial professional with over 20 years of experience in the industry. Diane is currently registered with American Portfolios Financial Services, Inc. in Holbrook, New York. Diane has held previous roles with firms including Empire Asset Management Company, Ascend Alternative Strategies, LLC, Cantella & Co., Inc. and Northeast Securities, Inc. Diane holds Series 6, 7, 24, 62, 63, 79TO, 99TO, and SIE licenses. Diane is licensed in New York.

Firm Information

Diane Hawkins is currently registered with American Portfolios Financial Services, Inc.. American Portfolios Financial Services, Inc. is a corporation approved in April 1990, registered in 53 states and the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

154

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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Diane Hawkins’s Registration & Firm History

NY

03/22/2022 - Present

American Portfolios Financial Services, Inc. (HOLBROOK NY)

NY

08/21/2020 - 07/06/2021

EMPIRE ASSET MANAGEMENT COMPANY (NEW YORK NY)

NY

08/21/2019 - 04/27/2020

ASCENDANT ALTERNATIVE STRATEGIES, LLC (NEW YORK NY)

MA

12/22/2017 - 02/27/2019

CANTELLA & CO., INC. (MALDEN MA)

NY

08/27/2008 - 08/18/2017

NORTHEAST SECURITIES, INC. (MITCHELFIELD NY)

NY

03/20/2008 - 09/16/2008

BEAR, STEARNS & CO. INC. (BROOKLYN NY)

NY

03/20/2008 - 09/16/2008

BEAR, STEARNS SECURITIES CORP. (BROOKLYN NY)

NY

03/08/2001 - 03/03/2008

NORTHEAST SECURITIES, INC. (MITCHEL FIELD NY)

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Licenses & Designations

BC

Issued 09/25/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/24/2001

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/07/2018

Series 6 - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 03/07/2001

Series 62 - Corporate Securities Limited Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Diane Hawkins. Review regulatory record here.
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