Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Diane? Claim Your ProfileDiane Johnston is a financial advisor with over 15 years of experience in the financial services industry. Diane Johnston is currently registered with UBS Financial Services Inc. and has held previous positions at Sanford C. Bernstein & Co., LLC, Foreside Fund Services, LLC, and OppenheimerFunds Distributor, Inc. Diane Johnston holds a Series 7, Series 24, Series 31, Series 55, Series 63, and Series 66 license.
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
NY
02/13/2024 - Present
UBS Financial Services Inc. (JERICHO NY)
NY
05/25/2018 - 12/02/2021
SANFORD C. BERNSTEIN & CO., LLC (NEW YORK NY)
NY
07/22/2015 - 05/10/2018
FORESIDE FUND SERVICES, LLC (New York NY)
ME
04/11/2014 - 07/08/2015
FORESIDE FUNDS DISTRIBUTORS LLC (PORTLAND ME)
NY
02/07/2012 - 07/02/2013
OPPENHEIMERFUNDS DISTRIBUTOR, INC. (NEW YORK NY)
MA
12/11/2006 - 07/12/2007
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (BOSTON MA)
CA
04/04/2005 - 08/19/2005
WELLS FARGO SECURITIES, LLC (SAN FRANCISCO CA)
NY
03/04/2002 - 03/23/2005
NEEDHAM & COMPANY, INC. (NEW YORK NY)
PA
10/01/2001 - 10/25/2001
FEDERATED SECURITIES CORP. (PITTSBURGH PA)
NY
10/21/1999 - 06/14/2001
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
02/20/1998 - 01/05/1999
JEFFERIES & COMPANY, INC. (NEW YORK NY)
NY
12/08/1997 - 01/02/1998
JEFFERIES & COMPANY, INC. (NEW YORK NY)
BOTH
Issued 07/13/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/16/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/10/2012
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/14/2018
Series 31 - Futures Managed Funds Examination
BC
Issued 02/06/2012
Series 7 - General Securities Representative Examination
BC
Issued 11/28/2000
Series 55 - Limited Representative-Equity Trader Exam
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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