Diane L. Snyder
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 Lee Snyder, who also goes by Diane Lee Andrews, Diane Lee Brown, Diane Lee Gilman, Diane Lee Peterson, was a registered financial professional .
Diane is a previously registered financial professional and started their career in finance in 1988. Diane had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 6, 2013 - October 20, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
September 6, 2013 - October 20, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
June 11, 2012 - August 16, 2013
NATIONAL SECURITIES CORPORATION
May 14, 2012 - August 16, 2013
B. RILEY WEALTH ADVISORS, INC.
March 15, 2007 - July 13, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
February 2, 2007 - July 13, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
October 16, 2006 - November 21, 2006
CAPITAL ONE INVESTING, LLC
May 10, 2005 - October 3, 2006
UBS FINANCIAL SERVICES INC.
January 5, 2000 - December 17, 2003
METROPOLITAN INVESTMENT SECURITIES, INC.
July 28, 1997 - August 28, 1998
CITIGROUP GLOBAL MARKETS INC.
January 28, 1995 - June 20, 1997
UBS FINANCIAL SERVICES INC.
November 23, 1988 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
Primary Firm SEC Registration
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
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 8
Date: 11/10/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| DOREN, MITCHELL DAVID | REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER) | 2129844 |
| FLEMING, JOSEPH DANIEL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2093776 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| O'CONNELL, PATRICK HUGH | DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT | 2246285 |
| SENNE, ANN MARIE | EXECUTIVE VICE PRESIDENT - WEALTH MANAGEMENT SOLUTIONS | 2515669 |
| SWEENEY, JOSEPH EDWARD | PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 4668713 |
| WILLIAMS, WILLIAM JERRYL | EXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER | 1954117 |
Regulatory assets under management
| Total Number of Accounts | 2,281,153 |
| AUM (Assets Under Management) | $ 564,622,896,919 |
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 103 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2025 | ||
| 09/23/2024 | ||
| 10/24/2023 | ||
| 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.
