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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Diane? Claim Your ProfileDiane Morgan is a financial advisor at Raymond James & Associates, Inc.. Diane has been in the financial services industry since March 1998. Diane Morgan holds licenses in both Broker/Dealer and Investment Advisor roles. Diane Morgan is registered with FINRA and has licenses for both Series 63 and Series 65 exams, as well as others. Diane Morgan is registered in all states for both Broker/Dealer and Investment Advisor roles. Diane Morgan also works as a owner/proprietor for a family farm.
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.
Please see note in schedule d - miscellaneous
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
OH
06/10/2013 - Present
Raymond James & Associates, Inc. (Centerville OH)
OH
03/27/1998 - 04/01/2009
CITIGROUP GLOBAL MARKETS INC. (DAYTON OH)
IA
Issued 04/09/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/03/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/02/2008
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/29/2008
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/15/1998
Series 31 - Futures Managed Funds Examination
BC
Issued 03/26/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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