Diana Yates
CFP®Professional Summary
Diana Yates, CFP®, who also goes by Diana Posey, Diana Posey Yates, was a registered financial advisor. Diana was a previously registered financial professional and started their career in finance 1988 - 2023. Diana had worked at 10 firms and has passed the Series 66, SIE, Series 55 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Who I Serve
Services Offered
- Retirement Planning
- Cashflow & Budgeting
- Investment Management
- Tax Planning
- Social Security & Medicare Planning
- Education Funding
Specializations
Biography
Diana graduated from the University of California at Berkeley and holds a Bachelor of Science degree in Business Administration. She is a member of the XY Planning Network, and the Financial Planning Association. She lives in Delray Beach, FL with her husband, Jim, and their two Italian Greyhounds. On weekends she enjoys cycling or hiking, and volunteers in the Volunteer Income Tax Assistance (VITA) program offered by the United Way. She loves animals and also...
Other Aliases
Diana Posey, Diana Posey Yates
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Credentials
Years of Experience
38 years in the financial services industry
Current & Past Employments
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Current Firm
YATES FINANCIAL PLANNING, LLC
Contact Information
Main Address
Ocala, FLMailing Address
603 E. Fort King St., Ocala, FL 34481Phone Number
(561) 933-9264# of Employees
1Documents
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Apr 2001Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Services Offered by Diana
- Retirement Planning
- Cashflow & Budgeting
- Investment Management
- Tax Planning
- Social Security & Medicare Planning
- Education Funding
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