Diane Newport-swanstrom
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 Newport-swanstrom, who also goes by Diane Newport, Diane Newportswanstrom, was a registered financial professional .
Diane is a previously registered financial professional and started their career in finance in 1982. Diane had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 55, Series 3, Series 15, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 14, 2022 - July 22, 2025
CHARLES SCHWAB & CO., INC.
January 26, 2022 - July 22, 2025
CHARLES SCHWAB & CO., INC.
March 6, 2013 - October 14, 2022
TD AMERITRADE, INC.
March 6, 2013 - September 7, 2023
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
January 16, 2013 - July 29, 2024
TD AMERITRADE, INC.
December 20, 2002 - June 30, 2006
WELLS FARGO CLEARING SERVICES, LLC
November 6, 1998 - May 2, 2001
DEUTSCHE IXE, LLC
February 19, 1997 - October 27, 1998
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
July 1, 1994 - February 24, 1997
JWGENESIS SECURITIES, INC.
December 5, 1990 - July 6, 1994
REICH & CO., INC.
September 15, 1989 - December 7, 1990
PRUDENTIAL EQUITY GROUP, LLC
January 9, 1989 - September 15, 1989
THOMSON MCKINNON SECURITIES INC.
October 20, 1982 - January 14, 1989
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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
Series 55
Date: 9/9/1999
Limited Representative-Equity Trader ExamSeries 15
Date: 8/1/1985
Foreign Currency Options ExaminationCurrent Firm
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
