Diane Hanvey
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 Hanvey, who also goes by Diane Harvey, Diane Huddleston, Diane Rooker, Diane Whaley, was a registered financial advisor .
Diane is a previously registered financial advisor and started their career in finance in 1988. Diane had worked at 15 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 20, 2012 - September 7, 2012
ALLSTATE FINANCIAL SERVICES, LLC
July 16, 2007 - February 8, 2010
ALLSTATE FINANCIAL SERVICES, LLC
February 7, 2007 - July 20, 2007
AURA ASSET MANAGEMENT, INC.
January 3, 2007 - July 20, 2007
AURA FINANCIAL SERVICES, INC.
April 4, 2006 - January 8, 2007
NEW ENGLAND SECURITIES
March 17, 2006 - January 8, 2007
NEW ENGLAND SECURITIES
August 13, 2004 - March 29, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
August 13, 2004 - March 29, 2006
IDS LIFE INSURANCE COMPANY
August 13, 2004 - March 29, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
September 29, 2003 - February 6, 2004
STONEX SECURITIES INC.
April 20, 2001 - May 14, 2002
MORGAN STANLEY DW INC.
October 26, 2000 - June 29, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 4, 1998 - February 18, 2000
DUNWOODY BROKERAGE SERVICES, INC.
April 15, 1998 - May 7, 1998
DUNWOODY BROKERAGE SERVICES, INC.
December 10, 1997 - April 16, 1998
OSAIC WEALTH, INC.
August 13, 1997 - December 18, 1997
AFS EQUITIES, INC.
April 24, 1997 - July 16, 1997
AMSOUTH INVESTMENT SERVICES, INC.
October 4, 1995 - February 21, 1997
AFS EQUITIES, INC.
December 18, 1990 - August 1, 1995
EDWARD JONES
March 12, 1990 - December 17, 1990
MORGAN STANLEY DW INC.
October 25, 1988 - July 15, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 19, 1988 - November 5, 1988
THE STUART-JAMES COMPANY, INCORPORATED
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
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
