Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Diane? Claim Your ProfileDiane Lassota-carter is a registered representative with Wells Fargo Clearing Services, LLC and has been in the financial services industry since December 1998. Diane is licensed to provide investment advice in multiple states, including California, Delaware, Florida, Maryland, New Jersey, New York, North Carolina, and Pennsylvania. Prior to joining Wells Fargo, Diane worked at FIRST UNION BROKERAGE SERVICES, INC. in Charlotte, NC. Diane holds a Series 6, Series 7, Series 63, and Series 66 license.
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.
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.
Investment consulting services to institutional clients
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
NJ
07/15/2021 - Present
Wells Fargo Clearing Services, LLC (OAKHURST NJ)
NC
12/16/1998 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
BOTH
Issued 07/12/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/16/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/17/2021
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/14/1998
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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