Diana L. Johnson
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 Lynne Johnson, who also goes by Diana Lynn Johnson, Diana L Tainter, Diana Lynne Tainter, was a registered financial professional .
Diana is a previously registered financial professional and started their career in finance in 1986. Diana had worked at 7 firms and has passed the 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
August 25, 2003 - October 25, 2022
SAXONY SECURITIES, INC.
January 30, 1997 - September 8, 2003
CLEARING SERVICES OF AMERICA, INC.
November 29, 1994 - December 31, 1995
TD AMERITRADE CLEARING, INC.
August 15, 1994 - February 21, 1997
FFG INVESTMENTS INC.
May 19, 1992 - June 27, 1994
SUNAMERICA SECURITIES, INC.
June 14, 1988 - May 19, 1992
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
December 9, 1986 - June 16, 1988
INVEST FINANCIAL CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SAXONY SECURITIES, INC.
CRD#: 115547 / SEC#: , 8-53490
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
