Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Diane? Claim Your ProfileDiane Newport-swanstrom is a financial advisor with over 30 years of experience in the industry. Diane is currently registered with Charles Schwab & CO., Inc. in Red Bank, NJ. Prior to this, Diane worked at TD AMERITRADE, INC., WACHOVIA SECURITIES, LLC, NDB CAPITAL MARKETS, LP, CORPORATE SECURITIES GROUP, INC., JW CHARLES SECURITIES,INC., REICH & CO., INC., PRUDENTIAL-BACHE SECURITIES INC., and THOMSON MCKINNON SECURITIES INC. Diane holds the Series 3, 4, 7, 15, 24, 55, 63, and 66 licenses.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
NJ
03/14/2022 - Present
Charles Schwab & CO., Inc. (Red Bank NJ)
NJ
01/16/2013 - 07/29/2024
TD AMERITRADE, INC. (Red Bank NJ)
MO
12/20/2002 - 06/30/2006
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
11/06/1998 - 05/02/2001
NDB CAPITAL MARKETS, LP (NEW YORK NY)
MO
02/19/1997 - 10/27/1998
CORPORATE SECURITIES GROUP, INC. (ST. LOUIS MO)
FL
07/01/1994 - 02/24/1997
JW CHARLES SECURITIES,INC. (BOCA RATON FL)
NA
12/05/1990 - 07/06/1994
REICH & CO., INC.
NY
09/15/1989 - 12/07/1990
PRUDENTIAL-BACHE SECURITIES INC. (NEW YORK NY)
NY
01/09/1989 - 09/15/1989
THOMSON MCKINNON SECURITIES INC. (NEW YORK NY)
NA
10/20/1982 - 01/14/1989
PAINEWEBBER INCORPORATED
BOTH
Issued 03/04/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/17/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/28/1998
Series 24 - General Securities Principal Examination
BC
Issued 08/07/1997
Series 4 - Registered Options Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/15/2013
Series 7 - General Securities Representative Examination
BC
Issued 09/09/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 09/10/1986
Series 3 - National Commodity Futures Examination
BC
Issued 08/01/1985
Series 15 - Foreign Currency Options Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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