Diane L. Sobin
Professional summary
Diane Lisa Sobin, CFA, who also goes by Diane Marie Lisa, is a registered financial advisor currently at CARY STREET PARTNERS ASSET MANAGEMENT located in Richmond, Virginia.
Diane is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Diane has worked at 4 firms and has passed the Series 63, Series 65 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Diane Lisa Sobin's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 1, 2020 - Present
CARY STREET PARTNERS ASSET MANAGEMENT
Office #1: 901 East Byrd Street Suite 2000, Richmond, VA 23219August 28, 2019 - November 13, 2020
TRADITION ASSET MANAGEMENT LLC
May 5, 1995 - July 30, 1997
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
June 24, 1986 - May 10, 1995
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
CARY STREET PARTNERS ASSET MANAGEMENT
CRD#: 289178 / SEC#: 801-110994
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(7/9/2020)
(7/1/2020)
Exams
Current Firm
CARY STREET PARTNERS ASSET MANAGEMENT
CRD#: 289178 / SEC#: 801-110994
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,255 |
| AUM (Assets Under Management) | $ 1,491,784,665 |
Red Flags
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Company Information
CARY STREET PARTNERS ASSET MANAGEMENT
CRD#: 289178Richmond, VA 23219TRUST BUT VERIFY
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