Diane E. Lash
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 Elizabeth Lash, CFP®, who also goes by Diane E Lash, was a registered financial professional .
Diane is a previously registered financial professional and started their career in finance in 1987. Diane had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 62, 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
Start date: 2000
Experience
January 12, 1999 - December 31, 2021
AVANTAX ADVISORY SERVICES
November 14, 1997 - December 31, 2021
AVANTAX INVESTMENT SERVICES, INC.
July 10, 1991 - August 14, 1997
OSAIC WEALTH, INC.
August 4, 1989 - July 10, 1991
VFS SECURITIES CORP.
September 17, 1987 - September 6, 1989
AVANTAX INVESTMENT SERVICES, INC.
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
Series 62
Date: 2/1/1991
Corporate Securities Limited Representative ExaminationCurrent Firm
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
