Diane J. Lupton
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 Jeanette Lupton, who also goes by Diane Jeanette Hibbard, Diane Jeanette Johnson, was a registered financial professional .
Diane is a previously registered financial professional and started their career in finance in 1992. Diane had worked at 15 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 30, 2012 - December 31, 2014
STRATEGIC ADVISERS LLC
May 7, 2012 - October 22, 2015
FIDELITY BROKERAGE SERVICES LLC
October 26, 2010 - July 18, 2011
TD AMERITRADE CLEARING, INC.
June 5, 2007 - October 21, 2010
TD AMERITRADE, INC.
June 5, 2007 - October 21, 2010
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
April 22, 2006 - October 21, 2010
TD AMERITRADE, INC.
January 5, 2006 - April 22, 2006
TD AMERITRADE CLEARING, INC.
May 19, 2005 - September 13, 2005
NEXT FINANCIAL GROUP, INC.
May 2, 2005 - September 13, 2005
NEXT FINANCIAL GROUP, INC.
May 11, 2004 - November 1, 2004
CALDWELL INTERNATIONAL SECURITIES
December 4, 2000 - July 15, 2002
SANCTUARY SECURITIES, INC.
September 3, 1998 - December 23, 1998
IDS LIFE INSURANCE COMPANY
September 3, 1998 - December 23, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
May 11, 1998 - August 13, 1998
WELLS FARGO CLEARING SERVICES, LLC
November 27, 1996 - May 11, 1998
PRINCIPAL FINANCIAL SECURITIES,INC.
June 20, 1995 - September 21, 1995
A. G. EDWARDS & SONS, INC.
January 10, 1994 - April 24, 1995
BANC ONE SECURITIES CORPORATION
May 8, 1992 - December 20, 1993
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
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
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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.
