Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Diane? Claim Your ProfileDiane Veenendaal is a financial advisor with UBS Financial Services Inc. based in Brookfield, WI. Diane has been working in the financial services industry since 1985. Diane has a Series 63 license and a Series 66 license. Diane is also registered with the following states: California, Colorado, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Massachusetts, Minnesota, Nevada, New Hampshire, New Jersey, New York, South Carolina, Texas, Virginia, Washington, and Wisconsin. Diane has been with UBS Financial Services Inc. since 2006. Diane also has prior experience at EVEREN SECURITIES, INC. and BLUNT ELLIS & LOEWI INCORPORATED.
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.
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.
See schedule d - miscellaneous
1
2
WI
01/30/1996 - Present
UBS Financial Services Inc. (Brookfield WI)
MO
09/04/1990 - 02/03/1993
EVEREN SECURITIES, INC. (ST. LOUIS MO)
NA
04/27/1985 - 09/04/1990
BLUNT ELLIS & LOEWI INCORPORATED
BOTH
Issued 03/15/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/05/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/20/1985
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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