Diane R. Johnson
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 R Johnson, who also goes by Diane R Schmidt, was a registered financial professional .
Diane is a previously registered financial professional and started their career in finance in 1985. Diane had worked at 11 firms and has passed the Series 63, SIE, Series 15, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 19, 2014 - December 10, 2014
QUESTAR ASSET MANAGEMENT, INC.
February 18, 2014 - December 10, 2014
QUESTAR CAPITAL CORPORATION
December 19, 2011 - February 20, 2014
U.S. BANCORP INVESTMENTS, INC.
December 16, 2011 - February 20, 2014
U.S. BANCORP INVESTMENTS, INC.
January 3, 2011 - December 15, 2011
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - December 15, 2011
WELLS FARGO CLEARING SERVICES, LLC
April 1, 2008 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
March 31, 2008 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
February 23, 2006 - March 31, 2008
WAMU INVESTMENTS, INC.
February 12, 2002 - March 31, 2008
WAMU INVESTMENTS, INC.
January 19, 1996 - January 30, 2002
FINANCIAL WEST GROUP
November 30, 1994 - December 14, 1995
ASB FINANCIAL SERVICES
March 20, 1990 - November 30, 1994
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
May 10, 1989 - February 20, 1990
UBS FINANCIAL SERVICES INC.
August 20, 1985 - February 18, 1988
DREXEL BURNHAM LAMBERT 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 15
Date: 8/6/1986
Foreign Currency Options ExaminationCurrent Firm
QUESTAR ASSET MANAGEMENT, INC.
CRD#: 133358 / SEC#: 801-63747
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.
