Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Diane? Claim Your ProfileDiane Lara is a financial advisor with UBS Financial Services Inc. located in Newport Beach, CA. Diane has been working in the financial services industry since 2005 and has been registered with UBS since 2009. Diane is registered in California and has passed the Series 7, Series 66, and SIE exams. Diane's prior employment includes positions at CITIGROUP GLOBAL MARKETS INC., METLIFE SECURITIES INC., and METROPOLITAN LIFE INSURANCE COMPANY. Diane specializes in financial planning, portfolio management, and pension consulting.
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
CA
01/26/2009 - Present
UBS Financial Services Inc. (NEWPORT BEACH CA)
CA
11/29/2005 - 02/12/2009
CITIGROUP GLOBAL MARKETS INC. (NEWPORT BEACH CA)
MA
08/22/2005 - 11/16/2005
METLIFE SECURITIES INC. (SPRINGFIELD MA)
NY
08/22/2005 - 11/16/2005
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
BOTH
Issued 10/19/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/19/2005
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
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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