Diane K. Criss
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.
Diane Killough Criss, who also goes by Diane Killough Gillis, Diane Kollough Gillis, Diane Sue Killough, Diane Killough Kluetz, was a registered financial advisor .
Diane is a previously registered financial advisor and started their career in finance in 1987. Diane had worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 26, 2009 - December 31, 2013
SUMMIT WEALTH MANAGEMENT, INC
June 22, 2005 - August 4, 2007
CITIGROUP GLOBAL MARKETS INC.
November 3, 1992 - April 27, 1994
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
July 15, 1991 - December 11, 1991
IVY FINANCIAL SERVICES, INC.
November 25, 1987 - April 20, 1990
USAA INVESTMENT SERVICES COMPANY
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
SUMMIT WEALTH MANAGEMENT, INC
CRD#: 105714 / SEC#: 801-29339
Contact information
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.
