Diane R. Haneklau

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CRD#: 1103578

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 Renee Haneklau, CFP® was a registered financial professional .

Diane is a previously registered financial professional and started their career in finance in 1983. Diane had worked at 9 firms and has passed the Series 63, Series 6TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

5/1997 D.R. HANEKLAU, INC.; PRESIDENT; REAL ESTATE AGENCY; ~10HRS/WEEK; NOT INVESTMENT RELATED; HOME ADDRESS--- 5/1997 DRH ENTERPRISES, INC.; PRESIDENT; INSURANCE AGENCY; ~10HRS/WEEK; NOT INVESTMENT RELATED; INSURANCE SALES; HOME ADDRESS--- Name of the other business: Vestech Securities, Inc. Investment-related: Yes Address of the other business: 11477 Olde Cabin Road, Suite 310, Saint Louis, MO, 63141 Nature of the other business: Broker Dealer Position; title, or relationship with the other business: Financial Representative Start date of your relationship: 01/2019 Approximate number of hours/month you devote to the other business: 160 Number of hours you devote to the other business during securities trading hours: 160 Briefly describe your duties relating to the other business: Financial Representative Name of the other business: Hampton Village South LLC Investment-related: No Address of the other business: 114 Ladue Pine Woods, St. Louis, MO, 63141 Nature of the other business: LLC formed for future real estate business Position; title, or relationship with the other business: Member of the LLC Start date of your relationship: 08/2007 Approximate number of hours/month you devote to the other business: 0 Number of hours you devote to the other business during securities trading hours: 0 Briefly describe your duties relating to the other business: Member of the LLC that has remained dormant since its organization in 2007 Name of the other business: CFP Board Investment-related: No Address of the other business: 1425 K Street, NW #800, Washington, D.C., 2005 Nature of the other business: Certified Financial Planner organization Position; title, or relationship with the other business: Hearing Panel Volunteer Start date of your relationship: 2022 Approximate number of hours/month you devote to the other business: 5 Number of hours you devote to the other business during securities trading hours: 0 Briefly describe your duties relating to the other business: Selected to serve as a hearing panel volunteer with the CFP Board Disciplinary and Ethics Commissions.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1990

Experience

Past

January 3, 2019 - January 3, 2025

VESTECH SECURITIES, INC.

CRD#: 41409

ST. LOUIS, MO

Past

January 2, 2019 - January 3, 2025

VESTECH ASSET MANAGEMENT INC.

RIA

CRD#: 285685

SAINT LOUIS, MO

Past

April 30, 2012 - December 13, 2018

DATATEX INVESTMENT SERVICES INC

RIA

CRD#: 105440

CLAYTON, MO

Past

April 30, 2012 - December 13, 2018

K. W. CHAMBERS & CO.

CRD#: 1432

CLAYTON, MO

Past

January 16, 2006 - April 30, 2012

OAKBRIDGE FINANCIAL SERVICES

RIA

CRD#: 16323

KIRKWOOD, MO

Past

January 16, 2006 - April 30, 2012

OAKBRIDGE FINANCIAL SERVICES

CRD#: 16323

KIRKWOOD, MO

Past

January 7, 2005 - December 31, 2005

CUTTER & COMPANY, INC.

CRD#: 22449

BALLWIN, MO

Past

January 3, 2005 - December 31, 2005

CUTTER & COMPANY, INC.

RIA

CRD#: 22449

ST. LOUIS, MO

Past

May 9, 1996 - December 31, 2004

CUTTER & COMPANY, INC.

RIA

CRD#: 22449

CHESTERFIELD, MO

Past

October 12, 1989 - December 31, 2004

CUTTER & COMPANY, INC.

CRD#: 22449

BALLWIN, MO

Past

April 23, 1985 - October 17, 1989

CARILLON INVESTMENTS, INC.

CRD#: 14646

CINCINNATI, OH

Past

April 4, 1984 - October 18, 1989

AMERICAN CAPITAL EQUITIES, INC.

CRD#: 13272

Past

May 25, 1983 - March 21, 1984

TITAN/VALUE EQUITIES GROUP, INC.

CRD#: 6359

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 5/23/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/21/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/15/1985

General Securities Principal Examination

Current Firm

VESTECH SECURITIES, INC.

CRD#: 41409 / SEC#: , 8-49409

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

11477 Olde Cabin Rd. Suite 310, St. Louis, MO 63141

Mailing Address

11477 Olde Cabin Rd. Suite 310, St. Louis, MO 63141

Phone number

(314) 828-2111

Established

Kansas since 03/13/1996

Firm type

Corporation

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (40 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
HUANG, JOHN CHUNEN	PRESIDENT	2659909
KNESE, PAUL BERNARD	AML OFFICER AND DSO	2541241
RAMIREZ, MARCO ANTONIO	CCO	4702164

Disclosures

Regulatory Event

Red Flags

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Diane R. Haneklau

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VESTECH ASSET MANAGEMENT INC.

DATATEX INVESTMENT SERVICES INC

K. W. CHAMBERS & CO.

OAKBRIDGE FINANCIAL SERVICES

OAKBRIDGE FINANCIAL SERVICES

CUTTER & COMPANY, INC.

CUTTER & COMPANY, INC.

CUTTER & COMPANY, INC.

CUTTER & COMPANY, INC.

CARILLON INVESTMENTS, INC.

AMERICAN CAPITAL EQUITIES, INC.

TITAN/VALUE EQUITIES GROUP, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/23/1983

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/21/1983

Series 24

Date: 1/15/1985

Current Firm

VESTECH SECURITIES, INC.

Contact information

FINRA licenses (40 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

VESTECH SECURITIES, INC.

TRUST BUT VERIFY

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