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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dianne? Claim Your ProfileDianne Bartol Scott is a financial advisor registered with RBC Capital Markets, LLC and has been working in the financial industry since April 13, 2006. Dianne is registered with FINRA and is currently registered with the states of Alabama, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, Ohio, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, Tennessee, Texas, Vermont, Virgin Islands, Virginia, Washington, West Virginia, and Wisconsin. Prior to joining RBC Capital Markets, LLC, Dianne worked for UBS FINANCIAL SERVICES INC, MORGAN STANLEY SMITH BARNEY, CITIGROUP GLOBAL MARKETS INC, and OPPENHEIMER & CO. INC. Dianne holds the Series 7 and Series 66 securities licenses, and the SIE exam. Dianne has experience working with insurance companies, charitable organizations, high net worth individuals, pooled investment vehicles, banking or thrift institutions, pension and profit sharing plans, corporations or other businesses, individuals other than high net worth, and state or municipal government entities.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
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2
VA
06/18/2020 - Present
RBC Capital Markets, LLC (Vienna VA)
DC
01/13/2012 - 06/02/2020
UBS FINANCIAL SERVICES INC. (WASHINGTON DC)
DC
06/01/2009 - 01/19/2012
MORGAN STANLEY SMITH BARNEY (WASHINGTON DC)
DC
03/02/2007 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (WASHINGTON DC)
DC
04/14/2006 - 03/05/2007
OPPENHEIMER & CO. INC. (WASHINGTON DC)
BOTH
Issued 09/20/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/13/2006
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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