Diane M. Woolley
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 Woolley, who also goes by Diana Marie Musil, Musil Woolley, was a registered financial professional .
Diane is a previously registered financial professional and started their career in finance in 1986. Diane had worked at 5 firms and has passed the Series 7, Series 22 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
June 19, 2006 - March 8, 2016
APPLE & ASSOCIATES
December 8, 1989 - July 20, 1995
CETERA WEALTH SERVICES, LLC
November 19, 1989 - December 20, 1989
OSAIC WEALTH, INC.
December 17, 1986 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
July 17, 1986 - February 9, 1987
AVANTAX INVESTMENT SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
APPLE & ASSOCIATES
CRD#: 126849 / SEC#: 801-134872
Contact information
Regulatory assets under management
| Total Number of Accounts | 538 |
| AUM (Assets Under Management) | $ 138,077,266 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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