Diana L. Knutson
Professional summary
Diana Lou Knutson was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Diana is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Diana had worked at 8 firms, which includes PIPER SANDLER & CO., UBS FINANCIAL SERVICES INC., KIDDER PEABODY & CO. INCORPORATED, PRUDENTIAL EQUITY GROUP LLC, LEHMAN BROTHERS INC., PROFESSIONAL BROKERAGE SERVICES INC., DREXEL BURNHAM LAMBERT INCORPORATED, CITIGROUP GLOBAL MARKETS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 10, 1997 - February 14, 2003
PIPER SANDLER & CO.
January 28, 1995 - March 21, 1997
UBS FINANCIAL SERVICES INC.
December 20, 1993 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
May 26, 1993 - October 13, 1993
PRUDENTIAL EQUITY GROUP, LLC
June 17, 1988 - May 19, 1993
LEHMAN BROTHERS INC.
March 15, 1988 - June 21, 1988
PROFESSIONAL BROKERAGE SERVICES INC.
October 3, 1985 - March 7, 1988
DREXEL BURNHAM LAMBERT INCORPORATED
May 21, 1983 - September 19, 1985
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
PIPER SANDLER & CO.
CRD#: 665 / SEC#: 801-108049, 8-15204
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
PIPER SANDLER & CO.
CRD#: 665 / SEC#: 801-108049, 8-15204
Contact information
SEC notice filing (9 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PIPER SANDLER COMPANIES | PARENT | |
| ABRAHAM, CHAD RICHARD | CHAIRMAN, CEO; BOARD MEMBER | 2190836 |
| CLUNE, KATHERINE PATRICIA | CFO; BOARD MEMBER | 4624219 |
| COX, MICHAEL EDWARD | CO-HEAD OF EQUITIES; BOARD MEMBER | 4248868 |
| DILLAHUNT, MICHAEL RAY | CO-HEAD INV BKG & CAP MKTS; BOARD MEMBER | 3056486 |
| DOYLE, JONATHAN JAY | HEAD OF FINANCIAL SERVICES GROUP | 2108121 |
| GEELAN, JOHN WILLIAM JR. | CHIEF LEGAL OFFICER | 4905460 |
| GERBER, JEREMY JOSEPH | CO HEAD OF PUBLIC FINANCE; BOARD MEMBER | 5071604 |
| LARSEN, BRIDGET TERE | CHIEF COMPLIANCE OFFICER | 6643130 |
| SCHONEMAN, DEBBRA LYNN | PRESIDENT; BOARD MEMBER | 1980635 |
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 1,985,004,532 |
Disclosures
| Regulatory Event | 141 |
| Civil Event | 1 |
| Arbitration | 50 |
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.
