Diane Thomas-rupert
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Diane Thomas-rupert, who also goes by Diane Irene Rupert, Diane Thomas Rupert, Diane Irene Thomas, Diane Thomas Thomasrupert, Diane Thomasrupert, was a registered financial professional .
Diane is a previously registered financial professional and started their career in finance in 1982. Diane had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2009 - July 18, 2016
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
August 24, 1999 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 24, 1991 - July 18, 2016
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 23, 1984 - November 27, 1989
PIPER SANDLER & CO.
December 1, 1983 - August 17, 1984
LEHMAN BROTHERS INC.
March 30, 1982 - November 18, 1983
FOSTER & MARSHALL INC.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
