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DL

Diane M. Lichtenstein

Some features on this profile are disabled
CRD#: 1271346
DL

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 Marilyn Lichtenstein was a registered financial professional .

Diane is a previously registered financial professional and started their career in finance in 1984. Diane had worked at 8 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 20, 2012 - January 30, 2014

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
NEW YORK, NY
Past

September 27, 2005 - July 5, 2012

LADENBURG THALMANN ASSET MANAGEMENT INC

RIA
CRD#: 108604
NEW YORK, NY
Past

September 26, 2005 - July 5, 2012

LADENBURG THALMANN & CO. INC.

BD
CRD#: 505
NEW YORK, NY
Past

March 19, 2001 - April 4, 2005

NBGI SECURITIES INC.

BD
CRD#: 104322
NEW YORK, NY
Past

April 14, 1999 - March 19, 2001

NEWBROOK SECURITIES, LLC

BD
CRD#: 45774
NEW YORK, NY
Past

November 29, 1993 - July 6, 1998

R. D. KUSHNIR & CO.

BD
CRD#: 24013
NORTHBROOK, IL
Past

June 21, 1991 - October 1, 1991

RUSHMORE CAPITAL, INC.

BD
CRD#: 5940
MONTVALE, NJ
Past

July 26, 1984 - October 5, 1989

FIRST ATLANTIC INVESTMENT CORP.

BD
CRD#: 13062

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/15/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/21/1984
General Securities Representative Examination

Current Firm

NS
NATIONAL SECURITIES CORPORATION
NAT'L SECURITIES CORP | WASHINGTON NATIONAL SECURITIES CORPORATION | NTL INSURANCE AGENCY | NSC INSURANCE AGENCY | NATIONAL SECURITIES OF WASHINGTON | NATIONAL SECURITIES CORPORATION | NATIONAL SECURITIES CORP OF WASHINGTON STATE

CRD#: 7569 / SEC#: , 8-164

BD
Terminated by SEC on 10/20/2022
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Contact information

Main Address
Mailing Address
Phone number
Established
Washington since 01/06/1947
Firm type
Corporation
Fiscal year end
September
Firm Size
Large
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
NATIONAL HOLDINGS CORPORATIONPARENT, OWNER
MARKUNAS, MICHAELCHIEF COMPLIANCE OFFICER1832307

Disclosures

Regulatory Event66
Arbitration16

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.

Company Information

NATIONAL SECURITIES CORPORATION

CRD#: 7569

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