Diana L. Ewing
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 Lynn Ewing, who also goes by Diana Lynn Lemaster, was a registered financial professional .
Diana is a previously registered financial professional and started their career in finance in 1989. Diana had worked at 4 firms and has passed the Series 63, Series 7, Series 53 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
February 2, 2012 - June 2, 2014
ROSS, SINCLAIRE & ASSOCIATES, LLC
October 11, 2006 - January 24, 2012
STEPHENS
September 15, 2004 - September 29, 2006
R.W. SMITH & ASSOCIATES, LLC
November 24, 1992 - December 31, 2002
WILLIAM R. HOUGH & CO.
January 24, 1989 - February 27, 2004
WILLIAM R. HOUGH & CO.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ROSS, SINCLAIRE & ASSOCIATES, LLC
CRD#: 25440 / SEC#: 801-78513, 8-41740
Contact information
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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