Diana J. Wilkins
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 Jane Wilkins, who also goes by Diana Jane Fauland, Diana J Wilkins, was a registered financial professional .
Diana is a previously registered financial professional and started their career in finance in 1987. Diana had worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 30, 2014 - December 31, 2025
RETIREMENT ASSET MANAGERS, INC.
September 9, 2010 - February 3, 2012
LPL FINANCIAL LLC
September 9, 2010 - February 3, 2012
LPL FINANCIAL LLC
December 6, 2005 - April 30, 2009
NATIONS FINANCIAL GROUP, INC.
December 5, 2005 - April 30, 2009
NATIONS FINANCIAL GROUP, INC.
November 2, 2004 - December 7, 2005
FINBAR SECURITIES CORP.
September 27, 1988 - December 7, 2005
FINBAR SECURITIES CORP.
August 20, 1987 - March 2, 1988
PRUDENTIAL EQUITY GROUP, LLC
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
Current Firm
RETIREMENT ASSET MANAGERS, INC.
CRD#: 147064 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 6 |
| AUM (Assets Under Management) | $ 381,256 |
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.
