Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dianne? Claim Your ProfileDianne Phillips is a Registered Representative and Investment Advisor Representative with Wells Fargo Clearing Services, LLC. Dianne has been in the securities industry since 1992. Dianne is a Series 63, 65, 7, 9, 10, 31, 99TO and SIE licensed professional. Dianne has experience with Stifel, Nicolaus & Company, Incorporated, UBS Financial Services Inc, Citigroup Global Markets Inc, Legg Mason Wood Walker, Incorporated, MML Investors Services, Inc, Alexander, Wescott, & Co., Inc, Cadaret, Grant & Co., Inc and Valley National Investments, Inc. Dianne is also a Finance Committee Member of the Presbyterian Church of Catasauqua. Dianne's firm, Wells Fargo Clearing Services, LLC provides financial planning, investment consulting services to institutional clients, pension consulting, selection of other advisers and portfolio management for individuals and businesses.
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.
Investment consulting services to institutional clients
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.
1
2
PA
02/20/2013 - Present
Wells Fargo Clearing Services, LLC (ALLENTOWN PA)
PA
09/25/2009 - 12/13/2012
STIFEL, NICOLAUS & COMPANY, INCORPORATED (WILKES-BARRE PA)
PA
12/06/2006 - 09/25/2009
UBS FINANCIAL SERVICES INC. (BETHLEHEM PA)
PA
02/21/2006 - 11/17/2006
CITIGROUP GLOBAL MARKETS INC. (BETHLEHEM PA)
MD
07/06/1999 - 02/21/2006
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
MA
03/02/1999 - 07/13/1999
MML INVESTORS SERVICES, INC. (SPRINGFIELD MA)
NY
10/30/1998 - 12/31/1998
ALEXANDER, WESCOTT, & CO., INC. (UTICA NY)
NY
03/06/1998 - 10/29/1998
CADARET, GRANT & CO., INC. (SYRACUSE NY)
NY
11/05/1997 - 03/09/1998
ALEXANDER, WESCOTT, & CO., INC. (UTICA NY)
PA
08/03/1994 - 11/12/1997
VALLEY NATIONAL INVESTMENTS, INC. (BETHLEHEM PA)
PA
04/22/1992 - 06/08/1994
ROBINSON & ROBINSON, INC. (ALLENTOWN PA)
IA
Issued 02/19/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/18/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/20/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/02/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/26/2019
Series 31 - Futures Managed Funds Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/20/1992
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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