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DH

Diane K. Hanne

FAIRPORT CAPITAL
BOCA RATON, FL
Some features on this profile are disabled
CRD#: 1703657
DH

Professional summary

Diane Kim Hanne, who also goes by Diane K Hanne, Diane Christine Kim, is a registered financial professional currently at FAIRPORT CAPITAL, INC. located in Boca Raton, Florida.

Diane is registered as a RR (Registered Representative) and started their career in finance in 1992. Diane has worked at 3 firms and has passed the Series 63, SIE, Series 6 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Diane K Hanne | Diane Christine Kim

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) - BD

Click below to view Diane Kim Hanne's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

April 17, 2024 - Present

FAIRPORT CAPITAL, INC.

BD
CRD#: 15034
BOCA RATON, FL
Past

October 14, 2013 - April 16, 2024

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
SAN JOSE, CA
Past

May 18, 1992 - January 28, 1994

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(4/17/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 10/18/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 10/14/2013
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 5/15/1992
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FC
FAIRPORT CAPITAL, INC.
FAIRPORT CAPITAL, INC.

CRD#: 15034 / SEC#: , 8-32162

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
9141 E. Hidden Spur Trail, Scottsdale, AZ 85255
Mailing Address
9141 E. Hidden Spur Trail, Scottsdale, AZ 85255
Phone number
(480) 247-6874
Established
Connecticut since 03/06/1984
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (13 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CONWAY, PATRICK ANTHONYPRESIDENT/CCO1258871
GISKE, BARRYVICE PRESIDENT4887571

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.

Company Information

FAIRPORT CAPITAL, INC.

CRD#: 15034Boca Raton, FL

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