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Diane Nicole Klitz

Axos Invest, Inc.

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About Diane Nicole Klitz

Diane Nicole Klitz is an investment advisor representative with Axos Invest, Inc. Diane has been in the industry since January 28, 2018. Diane is registered with the state of Nebraska. Diane has a Series 7TO, Series 99 and SIE licenses. Diane has a strong background in financial services, having worked for various financial firms. Diane provides a range of services including portfolio management for individuals. Diane is dedicated to providing clients with personalized financial advice. Diane is also registered with MORGAN STANLEY and AXOS CLEARING LLC.

Firm Information

Diane Klitz is currently registered with Axos Invest, Inc.. Axos Invest, Inc. is an investment advisor headquartered in LAS VEGAS, NV. The firm provides portfolio management for individuals. They have approximately $143 million in regulatory assets under management and advise 18,834 accounts. Axos Invest, Inc. is registered with the SEC and has a SEC Number of 801-79951.
Axos Invest, Inc.

9205 W RUSSELL ROAD

LAS VEGAS, NV 89148

$143.03M

Assets Under Management

Not reported

Total Clients

13

Total Financial Advisors

Services Offered

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.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Diane Klitz’s Registration & Firm History

NE

01/29/2025 - Present

Axos Invest, Inc. (Omaha NE)

NE

02/09/2022 - 05/03/2024

MORGAN STANLEY (Omaha NE)

NE

01/02/2018 - 01/18/2022

AXOS CLEARING LLC (Omaha NE)

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Licenses & Designations

BOTH

Issued 05/06/2022

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/17/2019

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/29/2017

Series 99 - Operations Professional Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BZX Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Diane Nicole Klitz.
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