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.
Biography
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2019
Experience
October 5, 2021 - December 31, 2023
YATES FINANCIAL PLANNING, LLC
January 10, 2020 - October 1, 2021
FAMILY FIRST FINANCIAL PLANNING
May 9, 2017 - March 8, 2018
SCOTTRADE INVESTMENT MANAGEMENT
February 11, 2005 - March 8, 2018
SCOTTRADE, INC.
March 28, 2001 - March 23, 2004
SCHONFELD SECURITIES, LLC
January 11, 1999 - March 26, 2001
IDS LIFE INSURANCE COMPANY
January 11, 1999 - March 26, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
December 20, 1993 - December 2, 1998
FINANCIAL WEST GROUP
April 6, 1992 - December 20, 1993
INTERFIRST CAPITAL CORPORATION
November 17, 1988 - January 31, 1990
THE SEIDLER COMPANIES INCORPORATED
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: 4/6/2001
Limited Representative-Equity Trader ExamCurrent Firm
YATES FINANCIAL PLANNING, LLC
CRD#: 316114 / SEC#:
Contact information
Red Flags
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