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Diane Patricia Sultan

Canaccord Genuity LLC

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About Diane Patricia Sultan

Diane Sultan is a financial professional with over 20 years of experience in the industry. Diane is currently registered with Canaccord Genuity LLC. Previously, Diane was registered with Canaccord Genuity Securities LLC, Natixis Bleichroeder LLC and BrokerageAmerica, LLC. Diane holds a Series 7, Series 55, Series 63, Series 57TO and SIE licenses. Diane is currently registered in 10 states including California, Colorado, Connecticut, Florida, Massachusetts, Missouri, Nebraska, New Jersey, New York and Pennsylvania.

Firm Information

Diane Sultan is currently registered with Canaccord Genuity LLC. Canaccord Genuity LLC is a Limited Liability Company formed in February 2004. The firm is registered in all 50 states, the District of Columbia, and Puerto Rico. Canaccord Genuity LLC is also registered with the Securities and Exchange Commission.

Not reported

Assets Under Management

Not reported

Total Clients

103

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.

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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Diane Sultan’s Registration & Firm History

NY

06/19/2012 - Present

Canaccord Genuity LLC (NEW YORK NY)

NY

03/17/2010 - 09/27/2012

CANACCORD GENUITY SECURITIES LLC (NEW YORK NY)

NY

04/13/2005 - 03/17/2010

NATIXIS BLEICHROEDER LLC (NEW YORK NY)

NY

02/24/2004 - 03/29/2005

BROKERAGEAMERICA, LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 04/18/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/30/2005

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 02/23/2004

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

N

NYSE Arca, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Diane Patricia Sultan.
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