Diane M. Buchanan
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 Marie Buchanan, who also goes by Diane Marie Ott, Diane Ott, was a registered financial professional .
Diane is a previously registered financial professional and started their career in finance in 1986. Diane had worked at 10 firms and has passed the 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
March 20, 2008 - November 12, 2014
AMUNI FINANCIAL, INC.
October 8, 2007 - December 13, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 4, 2007 - September 5, 2007
UBS FINANCIAL SERVICES INC.
August 9, 2005 - April 18, 2007
A. G. EDWARDS & SONS, INC.
July 25, 2005 - April 18, 2007
A. G. EDWARDS & SONS, INC.
May 13, 1999 - June 30, 2005
J. B. HANAUER & CO.
June 25, 1998 - June 2, 1999
NF CLEARING, INC.
February 19, 1998 - May 15, 1998
LEGG MASON WOOD WALKER, INCORPORATED
March 11, 1996 - March 11, 1998
NF CLEARING, INC.
June 16, 1993 - June 1, 1995
NF CLEARING, INC.
April 20, 1989 - July 1, 1991
FIRST UNION CAPITAL MARKETS CORP.
May 31, 1988 - March 7, 1989
LEHMAN BROTHERS INC.
November 21, 1986 - January 8, 1988
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
AMUNI FINANCIAL, INC.
CRD#: 8365 / SEC#: 801-120481, 8-25338
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
AMUNI FINANCIAL, INC.
CRD#: 8365 / SEC#: 801-120481, 8-25338
Contact information
SEC notice filing (14 States and Territories)
FINRA licenses (48 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 274 |
| AUM (Assets Under Management) | $ 159,700,000 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2024 | ||
| 06/13/2023 |
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.
