Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Diane? Claim Your ProfileDiane Patricia Fox is a financial professional with over 35 years of experience in the securities industry. Diane is currently a Registered Representative at Oppenheimer & Co. Inc. Diane began her career at Bear, Stearns & Co. Inc. in 1985. Prior to joining Oppenheimer, Diane worked at Gruntal & Co., L.L.C. Diane holds the Series 7, 10, 24, 55, 57TO and 79TO licenses, as well as the SIE designation and the Series 63 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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
NY
07/19/1999 - Present
Oppenheimer & Co. Inc. (NEW YORK NY)
NY
01/24/1989 - 07/13/1999
GRUNTAL & CO., L.L.C. (NEW YORK NY)
NA
05/21/1985 - 06/07/1988
BEAR, STEARNS & CO. INC.
BC
Issued 04/12/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/26/2016
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/06/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 05/18/1985
Series 7 - General Securities Representative Examination
Active
Inactive
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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