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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 M. Sherwin is a financial advisor at UBS Financial Services Inc. Diane has been in the financial services industry since 2006 and has extensive experience in providing financial planning and investment management services to individuals, families, and businesses. Diane has a strong commitment to helping clients achieve their financial goals and is dedicated to providing personalized service and advice. She holds the Series 7, Series 31, and Series 66 licenses and has been active in the financial services industry since 2005. Diane has a proven track record of success in helping clients navigate the complexities of the financial markets and has received numerous awards and recognitions for her outstanding service. Diane is also an active member of the community, serving on the Elmbrook School Board. Diane is dedicated to providing clients with the highest level of service and expertise.
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
WI
03/30/2007 - Present
UBS Financial Services Inc. (Brookfield WI)
CA
09/05/2005 - 11/01/2006
MORGAN STANLEY DW INC. (THOUSAND OAKS CA)
BOTH
Issued 09/20/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/21/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 09/02/2005
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
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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