Diane L. Hoessl
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 Lynn Hoessl, who also goes by Diane Lynn Herndon, was a registered financial advisor .
Diane is a previously registered financial advisor and started their career in finance in 1988. Diane had worked at 2 firms and has passed the Series 65, Series 63, Series 7, Series 4, Series 53, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 1995 - May 11, 2009
PROTECTED INVESTORS OF AMERICA
April 19, 1989 - May 11, 2009
PROTECTED INVESTORS OF AMERICA
September 20, 1988 - April 27, 1989
HORNOR, TOWNSEND & KENT, LLC
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
PROTECTED INVESTORS OF AMERICA
CRD#: 6082 / SEC#: 801-10299, 8-218
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ARMSTEAD FAMILY TRUST UA DTD | SHAREHOLDER | |
| ARMSTEAD, JOHN THOMAS | CHAIRMAN | 1048109 |
| BUCHFINCK, RITA KAY | SHAREHOLDER | 869008 |
| DREIZLER FAMILY TRUST | SHAREHOLDER | |
| FORD, IRVING MARTYN | SHAREHOLDER | 211057 |
| KOBE FAMILY TRUST (DATED 11-22-2004) | SHAREHOLDER | |
| NASSTROM TRUST | SHAREHOLDER | |
| ARMSTEAD, JOHN THOMAS | TRUSTEE OF ARMSTEAD FAMILY TRUST UA DTD | 1048109 |
| CALVELLI, MICHAEL J | DIRECTOR | 1237708 |
| DREIZLER, ROBERT LAURIE | TRUSTEE OF DREIZLER FAMILY TRUST | 867308 |
| DREIZLER, SONYA BROOKE | PRESIDENT / CEO / FINOP | 4754721 |
| JOHNSON, HEIDI ANN | CHIEF COMPLIANCE OFFICER | 2443764 |
| KOBE, DAVID HOWARD | TRUSTEE OF KOBE FAMILY TRUST (DATED 11-22-2004) | |
| KOBE, DAVID HOWARD | DIRECTOR/TREASURER | 1052144 |
| NASSTROM, SHARON SOLOMON | DIRECTOR/SECRETARY | 2898387 |
| NASSTROM, SHARON SOLOMON | TRUSTEE OF NASSTROM TRUST | 2898387 |
| RUST, MARGARET RUBEY | DIRECTOR | 2282941 |
| TUEMMLER, LISA DENISE | DIRECTOR | 4642373 |
Disclosures
| Regulatory Event | 2 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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