Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Diane? Claim Your ProfileDiane Lacina is a registered representative with Oppenheimer & Co. Inc. Diane has been in the securities industry since October 1999. Diane has worked for Oppenheimer & Co. Inc., HILLTOP SECURITIES INC., MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED and EDWARD JONES. Diane currently works out of the Austin, TX branch office of Oppenheimer & Co. Inc.. Diane is registered with the Financial Industry Regulatory Authority (FINRA) and holds Series 7, 63, and 66 licenses. Diane also has a Series SIE license. Diane is registered to provide investment advice in multiple states, including Texas, California, Colorado, Florida, Georgia, Arkansas, New York, Washington, Virginia, Wyoming, New Mexico, Ohio, Tennessee, Oregon, Iowa, and Missouri.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
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2
TX
07/14/2017 - Present
Oppenheimer & Co. Inc. (AUSTIN TX)
TX
09/11/2009 - 07/21/2017
HILLTOP SECURITIES INC. (Fort Worth TX)
TX
02/03/2006 - 09/15/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SOUTHLAKE TX)
TX
10/26/1999 - 02/07/2006
EDWARD JONES (HURST TX)
BOTH
Issued 06/19/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/29/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/25/1999
Series 7 - General Securities Representative Examination
Active
Inactive
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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