Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Diane? Claim Your ProfileDiane Willis is a financial advisor with over 23 years of experience in the financial services industry. Diane is a CERTIFIED FINANCIAL PLANNER™ professional. Diane is currently registered with Cambridge Investment Research Advisors, Inc. in North Carolina and South Carolina. Diane has previously held positions with Lincoln Financial Securities Corporation, INVEST Financial Corporation, Woodbury Financial Services, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Mercer Global Securities LLC. Diane is a graduate of the University of North Carolina at Charlotte.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Solicitation fees from 3rd party money managers
1
2
NC
01/03/2023 - Present
Cambridge Investment Research Advisors, Inc. (Charlotte NC)
NC
12/01/2017 - 01/05/2023
LINCOLN FINANCIAL SECURITIES CORPORATION (CHARLOTTE NC)
NC
05/23/2016 - 12/06/2017
INVEST FINANCIAL CORPORATION (CHAROLOTTE NC)
NC
11/15/2004 - 05/26/2016
WOODBURY FINANCIAL SERVICES, INC. (CHARLOTTE NC)
NY
05/22/2000 - 11/16/2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
CA
12/14/1999 - 05/09/2000
MERCER GLOBAL SECURITIES LLC (IRVINE CA)
BC
Issued 05/27/2000
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 07/28/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/03/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/13/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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