Dianna C. Geist
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.
Dianna Catherine Geist, who also goes by Dianna Catherine Deritis, was a registered financial professional .
Dianna is a previously registered financial professional and started their career in finance in 1984. Dianna had worked at 12 firms and has passed the Series 63, SIE, Series 52, Series 6 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
January 31, 2019 - April 15, 2019
NW CAPITAL MARKETS INC.
April 25, 2014 - March 1, 2017
NW CAPITAL MARKETS INC.
October 3, 2003 - May 5, 2006
PFM FUND DISTRIBUTORS, INC.
August 12, 2002 - October 23, 2003
PFM, INC.
February 17, 1998 - February 19, 1999
TD WEALTH MANAGEMENT SERVICES INC.
April 13, 1995 - September 8, 1997
FIRST UNION CAPITAL MARKETS CORP.
January 29, 1988 - August 16, 1989
FIRST CLEARING, LLC
November 27, 1987 - December 12, 1987
MOSELEY SECURITIES CORPORATION
May 27, 1986 - June 25, 1987
BOENNING & SCATTERGOOD, INC.
April 17, 1986 - May 5, 1986
AMERIPRISE ADVISOR SERVICES, INC.
July 12, 1985 - October 4, 1985
CITIGROUP GLOBAL MARKETS INC.
November 21, 1984 - June 7, 1985
BLINDER, ROBINSON & CO., INC.
June 5, 1984 - November 13, 1984
FORESTERS FINANCIAL SERVICES, INC.
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
NW CAPITAL MARKETS INC.
CRD#: 17622 / SEC#: , 8-35363
Contact information
FINRA licenses (12 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
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.
