Diane K. Ballard
Professional summary
Diane Kathleen Ballard, who also goes by Diane K Ballard, Diane Ballard, Diane Kathleen Ballardwadhams, Diane Ballard Wadhams, is a registered financial professional currently at VOYA FINANCIAL PARTNERS, LLC located in Scottsdale, Arizona.
Diane is registered as a RR (Registered Representative) and started their career in finance in 1992. Diane has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Diane Kathleen Ballard's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 6, 2013 - Present
VOYA FINANCIAL PARTNERS, LLC
Office #1: 7337 E. Doubletree Ranch Rd., Scottsdale, AZ 85258February 7, 2000 - January 9, 2012
ADP BROKER-DEALER, INC.
October 21, 1996 - January 5, 2000
PRUDENTIAL EQUITY GROUP, LLC
September 20, 1996 - October 14, 1996
PRUDENTIAL EQUITY GROUP, LLC
January 28, 1993 - September 26, 1996
UBS FINANCIAL SERVICES INC.
June 17, 1992 - March 30, 1993
SUNAMERICA SECURITIES, 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
(7/8/2013)
Exams
FINRA
Current Firm
VOYA FINANCIAL PARTNERS, LLC
CRD#: 34815 / SEC#: 801-57637, 8-46451
Contact information
FINRA licenses (53 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
Red Flags
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