Diana W. Nicholson
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.
Diana Wehrly Nicholson, who also goes by Diana Nicholson, Diana P Wehrly, Diana Priscilla Wehrly, was a registered financial professional .
Diana is a previously registered financial professional and started their career in finance in 1986. Diana had worked at 5 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 2, 2015 - December 31, 2019
GE RATTÉ ASSET MANAGEMENT LLC
March 16, 1998 - August 31, 1999
FIRST UNION CAPITAL MARKETS CORP.
July 3, 1996 - February 13, 1998
LEGG MASON WOOD WALKER, INCORPORATED
September 21, 1994 - March 20, 1996
CITIGROUP GLOBAL MARKETS INC.
January 22, 1986 - July 31, 1986
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Exams
Current Firm
GE RATTÉ ASSET MANAGEMENT LLC
CRD#: 167162 / SEC#: 801-77835
Contact information
Red Flags
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