Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Diane? Claim Your ProfileDiane Cassens is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. located in Rockford, Illinois. Diane is registered to provide investment advice in 38 states. Diane joined Merrill Lynch in 2006. Prior to that, Diane worked for Chase Investment Services Corp., Banc One Securities Corporation, Raymond James Financial Services, Inc., LM Financial Partners, Inc., and LaSalle St Securities, L.L.C. Diane has been in the financial services industry since 1996.
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
IL
02/03/2006 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (ROCKFORD IL)
MI
07/06/2005 - 01/12/2006
CHASE INVESTMENT SERVICES CORP. (SAGINAW MI)
IL
01/18/2005 - 07/06/2005
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
FL
12/09/2002 - 09/30/2004
RAYMOND JAMES FINANCIAL SERVICES, INC. (ST. PETERSBURG FL)
LA
05/13/1998 - 12/12/2002
LM FINANCIAL PARTNERS, INC. (NEW ORLEANS LA)
IL
03/04/1997 - 08/26/1997
LASALLE ST SECURITIES, L.L.C. (ELMHURST IL)
IL
10/29/1996 - 01/31/1997
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
BOTH
Issued 12/01/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/24/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/15/1999
Series 7 - General Securities Representative Examination
BC
Issued 10/28/1996
Series 6 - Investment Company Products/Variable Contracts 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 Cassens is the right advisor for you? Invested Better is here to help.
