Diane P. Elkin
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 P Elkin, who also goes by Diane L Elkin, Donna L Elkin, Diane Patricia Feeney, was a registered financial professional .
Diane is a previously registered financial professional and started their career in finance in 1985. Diane had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 13, 2017 - December 5, 2023
VISIONS ANALYSIS LLC
July 17, 2015 - November 28, 2022
LPL FINANCIAL LLC
January 2, 2014 - July 10, 2015
CETERA INVESTMENT SERVICES LLC
February 2, 2012 - December 20, 2013
EQUITABLE ADVISORS, LLC
May 16, 2011 - January 13, 2012
CUNA BROKERAGE SERVICES, INC.
August 5, 2005 - August 17, 2010
LPL FINANCIAL LLC
November 20, 2000 - July 21, 2005
PRIME CAPITAL SERVICES, INC.
October 8, 1990 - November 24, 2000
PRUDENTIAL EQUITY GROUP, LLC
January 21, 1987 - October 23, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 10, 1985 - December 18, 1986
SIGNATOR INVESTORS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
VISIONS ANALYSIS LLC
CRD#: 286678 / SEC#: , 8-69898
Contact information
FINRA licenses (2 States and Territories)
Documents
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.
