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Diana Yates

Diana Yates

Some features on this profile are disabled
CRD#: 1133727
Diana Yates

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.

Diana Yates, CFP®, who also goes by Diana Posey, Diana Posey Yates, was a registered financial professional .

Diana is a previously registered financial professional and started their career in finance in 1988. Diana had worked at 10 firms and has passed the Series 66, SIE, Series 55 and Series 7 exams.

Core Areas of Focus

Hourly
Investment Advice without Ongoing Management
Middle Income Client Needs
Retirement Plan Investment Advice
Retirement Planning & Distribution Rules
Women's Financial Planning Issues

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 volunteers for Dezzy’s Second Chance Animal Rescue.

Question & Answer

What are your service offerings?
Retirement Planning
Budgeting
Retirement Income Management
Investment Planning
Tax Planning
Social Security Planning
Education Planning
Are you a "fiduciary"?
No

Aliases

Diana Posey | Diana Posey Yates

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.
The advisor shows no other business activity.

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: 2019

Experience

Past

October 5, 2021 - December 31, 2023

YATES FINANCIAL PLANNING, LLC

RIA
CRD#: 316114
OCALA, FL
Past

January 10, 2020 - October 1, 2021

FAMILY FIRST FINANCIAL PLANNING

RIA
CRD#: 131254
STUART, FL
Past

May 9, 2017 - March 8, 2018

SCOTTRADE INVESTMENT MANAGEMENT

RIA
CRD#: 169988
Boynton Beach, FL
Past

February 11, 2005 - March 8, 2018

SCOTTRADE, INC.

BD
CRD#: 8206
BOYNTON BEACH, FL
Past

March 28, 2001 - March 23, 2004

SCHONFELD SECURITIES, LLC

BD
CRD#: 23304
JERICHO, NY
Past

January 11, 1999 - March 26, 2001

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

January 11, 1999 - March 26, 2001

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN
Past

December 20, 1993 - December 2, 1998

FINANCIAL WEST GROUP

BD
CRD#: 16668
RENO, NV
Past

April 6, 1992 - December 20, 1993

INTERFIRST CAPITAL CORPORATION

BD
CRD#: 7659
LOS ANGELES, CA
Past

November 17, 1988 - January 31, 1990

THE SEIDLER COMPANIES INCORPORATED

BD
CRD#: 3911
LOS ANGELES, CA

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
RR
IAR
Series 66
Date: 3/4/2017
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/8/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 4/6/2001
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 9/17/1988
General Securities Representative Examination

Current Firm

YATES FINANCIAL PLANNING, LLC
YATES FINANCIAL PLANNING, LLC
YATES FINANCIAL PLANNING, LLC

CRD#: 316114 / SEC#:

PREMIUM
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Contact information

Main Address
Ocala, FL
Mailing Address
603 E. Fort King St., Ocala, FL 34481
Phone number
(561) 933-9264
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

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.

Company Information

YATES FINANCIAL PLANNING, LLC

YATES FINANCIAL PLANNING, LLC

CRD#: 316114

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Contact information

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