Dianne M. Thorndike
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.
Dianne Marie Thorndike, who also goes by Dianne Marie Ryan, was a registered financial professional .
Dianne is a previously registered financial professional and started their career in finance in 2011. Dianne had worked at 1 firm and has passed the SIE exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 29, 2011 - August 4, 2022
NASDAQ EXECUTION SERVICES, LLC
State Registrations and Notice Filings
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Current Firm
NASDAQ EXECUTION SERVICES, LLC
CRD#: 7270 / SEC#: , 8-37329
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE NASDAQ STOCK MARKET, LLC | SOLE MEMBER | |
| CRANE, LINDA | PRINCIPAL FINANCIAL OFFICER / PRINCIPAL OPERATIONS OFFICER | 4374198 |
| HINTON-MILLER, BRENDA | CHIEF COMPLIANCE OFFICER | 3208241 |
| LAWN, DAVID EDWARD | CHIEF EXECUTIVE OFFICER | 3155025 |
| MARIGLIANO, DONALD EDWARD JR | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL | 1843181 |
Disclosures
| Regulatory Event | 10 |
Red Flags
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