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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 Davis is a financial advisor registered with Commonwealth Financial Network. Dianne has been in the financial industry since 2000. Dianne works with clients to achieve their financial goals, offering a variety of services including financial planning, portfolio management, and educational seminars. Dianne has a strong track record of success in helping clients reach their financial objectives. Dianne holds the Series 7, Series 63, Series 65, Series 9, Series 10, and Series 24 securities licenses and is a Certified Financial Planner. Prior to joining Commonwealth Financial Network, Dianne was employed by LPL Financial Corporation, Neuberger Berman LLC, BANC OF AMERICA INVESTMENT SERVICES, INC. and Merrill Lynch, Pierce, Fenner & Smith Incorporated.
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.
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CA
11/29/2010 - Present
Commonwealth Financial Network (SAN DIEGO CA)
CA
03/15/2010 - 10/25/2010
LPL FINANCIAL CORPORATION (CORONADO CA)
CA
03/10/2005 - 02/04/2010
NEUBERGER BERMAN LLC (NEWPORT BEACH CA)
MA
03/22/2004 - 02/16/2005
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
NY
09/30/1999 - 03/06/2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BC
Issued 12/22/1999
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 12/17/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/19/2010
Series 24 - General Securities Principal Examination
BC
Issued 07/21/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/21/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/27/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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