Diane V. Rosen
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 Vivian Rosen, who also goes by Diane V Stone, was a registered financial professional .
Diane is a previously registered financial professional and started their career in finance in 1986. Diane had worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 9, 2004 - November 4, 2004
DIANE ROSEN D/B/A INTEGRATED FINANCIAL PLANNERS
September 7, 2004 - December 31, 2014
AMERICAN PORTFOLIOS ADVISORS, INC
September 7, 2001 - December 31, 2014
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
May 7, 1996 - September 17, 2001
NATHAN & LEWIS SECURITIES, INC.
November 29, 1990 - May 9, 1996
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
February 7, 1990 - August 29, 1990
LCP CAPITAL CORP.
November 19, 1989 - January 1, 1990
OSAIC WEALTH, INC.
August 11, 1986 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current firm
No current employment
Red Flags
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