Diane M. Gonzales

Some features on this profile are disabled

CRD#: 1399504

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 Gonzales, CFP®, who also goes by Diane Woehnker, was a registered financial professional .

Diane is a previously registered financial professional and started their career in finance in 1987. Diane had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Diane Woehnker

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®

CFP^®

Certified Financial Planner

Experience

Past

November 19, 2021 - July 23, 2024

COOKSEN WEALTH, LLC

RIA

CRD#: 300451

Tamarac, FL

Past

June 1, 2009 - April 15, 2016

MORGAN STANLEY

RIA

CRD#: 149777

HOUSTON, TX

Past

June 1, 2009 - April 15, 2016

MORGAN STANLEY

CRD#: 149777

HOUSTON, TX

Past

May 6, 2002 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

HOUSTON, TX

Past

April 19, 2001 - April 29, 2002

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

HOUSTON, TX

Past

April 19, 2001 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

HOUSTON, TX

Past

April 19, 2001 - April 29, 2002

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

November 21, 1996 - May 14, 2001

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

December 23, 1992 - October 25, 1996

SUNBELT CAPITAL MANAGEMENT, INC.

CRD#: 23479

HOUSTON, TX

Past

March 5, 1992 - December 19, 1992

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

WAVERLY, IA

Past

February 15, 1988 - March 10, 1992

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

September 24, 1987 - February 15, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

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".

COOKSEN WEALTH, LLC

COOKSEN WEALTH, LLC | GREENLEAF WEALTH, LLC

CRD#: 300451 / SEC#: 801-128131

RIA

Registered Investment Advisory firm - (6/8/2023 Approved)

California

Registered Investment Advisory firm - (7/9/2023 Terminated)

Florida

Registered Investment Advisory firm - (6/9/2023 Terminated)

Texas

Registered Investment Advisory firm - (6/9/2023 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: 9/8/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/4/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/15/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 4/19/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 9/19/1987

General Securities Representative Examination

Current Firm

COOKSEN WEALTH, LLC

COOKSEN WEALTH, LLC | GREENLEAF WEALTH, LLC

CRD#: 300451 / SEC#: 801-128131

RIA

Registered Investment Advisory firm - (6/8/2023 Approved)

California

Registered Investment Advisory firm - (7/9/2023 Terminated)

Florida

Registered Investment Advisory firm - (6/9/2023 Terminated)

Texas

Registered Investment Advisory firm - (6/9/2023 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1790 Hughes Landing Boulevard Suite 400, The Woodlands, TX 77380

Mailing Address

Phone number

(832) 592-2554

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE FOR COOKSEN WEALTH, LLC (2/21/2025)

Regulatory assets under management

Total Number of Accounts	319
AUM (Assets Under Management)	$ 178,854,598

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Diane M. Gonzales

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

UBS FINANCIAL SERVICES INC.

CITIGROUP GLOBAL MARKETS INC.

UBS FINANCIAL SERVICES INC.

UBS SECURITIES LLC

SUNBELT CAPITAL MANAGEMENT, INC.

CUNA BROKERAGE SERVICES, INC.

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

Primary Firm SEC Registration

COOKSEN WEALTH, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/8/2000

Series 63

Date: 2/4/1988

SIE

Date: 4/15/2016

Series 31

Date: 4/19/2004

Series 7

Date: 9/19/1987

Current Firm

COOKSEN WEALTH, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COOKSEN WEALTH, LLC

TRUST BUT VERIFY

Similar Advisors