Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Diane? Claim Your ProfileDiane Spearin is an investment advisor representative who has been in the industry since 1991. She currently works at Ernst & Young Investment Advisers LLP and is registered with the state of New Jersey. Diane has previously worked at several other firms, including JHS Capital Advisors, LLC, NFP Securities, Inc., Ameriprise Financial Services, Inc., UBS Financial Services Inc., Clark Securities, Inc., and Mutual Service Corporation. She holds several professional licenses, including Series 6, Series 7, Series 63, and Series 66. She is also a Certified Financial Planner. Diane specializes in retirement planning and provides financial planning, educational seminars, and publication of periodicals.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
1
2
NJ
11/05/2014 - Present
Ernst & Young Investment Advisers LLP (SECAUCUS NJ)
FL
02/01/2012 - 08/17/2015
JHS CAPITAL ADVISORS, LLC (TAMPA FL)
MN
09/18/2008 - 09/15/2010
NFP SECURITIES, INC. (PLYMOUTH MN)
MN
03/27/2007 - 04/10/2008
AMERIPRISE FINANCIAL SERVICES, INC. (WAYZATA MN)
MN
05/04/2006 - 01/23/2007
UBS FINANCIAL SERVICES INC. (WAYZATA MN)
MN
11/16/2001 - 01/04/2006
CLARK SECURITIES, INC. (MINNEAPOLIS MN)
MA
04/20/1995 - 11/15/2001
MUTUAL SERVICE CORPORATION (BOSTON MA)
MA
09/25/1991 - 06/07/1994
MUTUAL SERVICE CORPORATION (BOSTON MA)
BOTH
Issued 03/15/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/19/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/17/2015
SIE - Securities Industry Essentials Examination
BC
Issued 03/02/2006
Series 7 - General Securities Representative Examination
BC
Issued 09/23/1991
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
Not sure Diane Spearin is the right advisor for you? Invested Better is here to help.
