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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 Mary Brett is a financial advisor with LPL Financial LLC. Diane has been in the financial services industry since 1985. Diane is registered with the following states: Connecticut, Delaware, Florida, Massachusetts, and New York. Diane also holds the following FINRA licenses: Series 7, Series 24, and Series 63. Diane is a member of the following professional organizations: American Eagle Federal Credit Union. In addition to her work as a financial advisor, Diane is also involved in the community.
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.
Consulting and other non-discretionary advisory services
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.
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2
CT
10/11/2011 - Present
LPL Financial LLC (EAST HARTFORD CT)
CT
01/17/2008 - 10/11/2011
UVEST FINANCIAL SERVICES GROUP, INC. (EAST HARTFORD CT)
CT
03/08/2006 - 03/13/2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (GLASTONBURY CT)
CT
04/16/2001 - 03/08/2006
ADVEST, INC. (HARTFORD CT)
MN
01/15/1999 - 04/19/2001
COMPULIFE INVESTOR SERVICES, INC. (ST. CLOUD MN)
SC
04/17/1998 - 02/03/1999
LINSCO/PRIVATE LEDGER CORP. (FORT MILL SC)
WI
05/02/1985 - 04/20/1998
INVEST FINANCIAL CORPORATION (APPLETON WI)
NA
06/20/1984 - 03/29/1985
E. F. HUTTON & COMPANY INC
IA
Issued 06/29/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/08/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/13/1988
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/16/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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