Diane M. Wojnowski

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CRD#: 1314998

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 Marie Wojnowski, who also goes by Diane Marie Falik, Diane Marie Warnowski, Diane M Wojnowski, was a registered financial professional .

Diane is a previously registered financial professional and started their career in finance in 1987. Diane had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Diane Marie Falik | Diane Marie Warnowski | Diane M Wojnowski

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

June 13, 2019 - January 29, 2024

KINGSVIEW WEALTH MANAGEMENT, LLC

RIA

CRD#: 148107

Myrtle Beach, SC

Past

August 25, 2010 - June 18, 2019

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

MYRTLE BEACH, SC

Past

August 25, 2010 - June 18, 2019

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

MYRTLE BEACH, SC

Past

June 8, 2009 - January 4, 2010

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

WILMINGTON, NC

Past

September 11, 2008 - January 4, 2010

EQUITABLE ADVISORS, LLC

CRD#: 6627

WILMINGTON, NC

Past

March 14, 2006 - May 14, 2008

UBS FINANCIAL SERVICES INC.

CRD#: 8174

EDISON, NJ

Past

February 13, 2001 - April 12, 2006

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

July 25, 1987 - February 4, 1992

GARBAN CAPITAL MARKETS LLC

CRD#: 19738

JERSEY CITY, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

KINGSVIEW WEALTH MANAGEMENT, LLC

CRD#: 148107 / SEC#: 801-79198

RIA

Registered Investment Advisory firm - (2/24/2014 Approved)

Arkansas

Registered Investment Advisory firm - (2/26/2014 Terminated)

Florida

Registered Investment Advisory firm - (2/26/2014 Terminated)

Illinois

Registered Investment Advisory firm - (2/26/2014 Terminated)

Iowa

Registered Investment Advisory firm - (2/26/2014 Terminated)

Minnesota

Registered Investment Advisory firm - (2/26/2014 Terminated)

New York

Registered Investment Advisory firm - (11/8/2013 Cancelled)

North Dakota

Registered Investment Advisory firm - (2/26/2014 Terminated)

Oregon

Registered Investment Advisory firm - (2/26/2014 Terminated)

South Dakota

Registered Investment Advisory firm - (2/26/2014 Terminated)

Texas

Registered Investment Advisory firm - (2/26/2014 Terminated)

Virginia

Registered Investment Advisory firm - (2/26/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/16/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/30/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/12/2001

General Securities Representative Examination

Current Firm

KINGSVIEW WEALTH MANAGEMENT, LLC

CRD#: 148107 / SEC#: 801-79198

RIA

Registered Investment Advisory firm - (2/24/2014 Approved)

Arkansas

Registered Investment Advisory firm - (2/26/2014 Terminated)

Florida

Registered Investment Advisory firm - (2/26/2014 Terminated)

Illinois

Registered Investment Advisory firm - (2/26/2014 Terminated)

Iowa

Registered Investment Advisory firm - (2/26/2014 Terminated)

Minnesota

Registered Investment Advisory firm - (2/26/2014 Terminated)

New York

Registered Investment Advisory firm - (11/8/2013 Cancelled)

North Dakota

Registered Investment Advisory firm - (2/26/2014 Terminated)

Oregon

Registered Investment Advisory firm - (2/26/2014 Terminated)

South Dakota

Registered Investment Advisory firm - (2/26/2014 Terminated)

Texas

Registered Investment Advisory firm - (2/26/2014 Terminated)

Virginia

Registered Investment Advisory firm - (2/26/2014 Terminated)

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Contact information

Main Address

509 Se 7th Street 2nd Floor, Grants Pass, OR 97526

Mailing Address

Phone number

(312) 870-6701

Established

Firm type

Fiscal year end

# of Employees

225

SEC notice filing (47 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KINGSVIEW 2A (2/28/2025)

Regulatory assets under management

Total Number of Accounts	24,847
AUM (Assets Under Management)	$ 6,745,495,357

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.

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Advisor Monitoring

Firm Stability Insights

Diane M. Wojnowski

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

UBS FINANCIAL SERVICES INC.

CITIGROUP GLOBAL MARKETS INC.

GARBAN CAPITAL MARKETS LLC

Primary Firm SEC Registration

KINGSVIEW WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/16/2009

Series 63

Date: 4/30/2001

SIE

Date: 10/1/2018

Series 7

Date: 2/12/2001

Current Firm

KINGSVIEW WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (47 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KINGSVIEW WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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