Diane F. Schmidt
Professional summary
Diane Frances Schmidt, who also goes by Diane Francis Schmidt, is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Atlanta, Georgia.
Diane is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Diane has worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Diane Frances Schmidt's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 8, 2017 - Present
TRUIST ADVISORY SERVICES, INC.
Office #1: 303 Peachtree Street Ne 31st Floor, Atlanta, GA 30308May 25, 2005 - March 23, 2009
VIRTUS CAPITAL ADVISERS, LLC
December 3, 2004 - February 4, 2009
TRUIST INVESTMENT SERVICES, INC.
February 1, 2001 - December 31, 2003
CHARLES SCHWAB & CO., INC.
January 23, 1998 - January 2, 2001
FSC SECURITIES CORPORATION
December 22, 1993 - November 4, 1996
ALEX. BROWN & SONS INCORPORATED
Primary Firm SEC Registration
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(3/8/2017)
Exams
Current Firm
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 124,363 |
| AUM (Assets Under Management) | $ 67,736,740,585 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/24/2025 | ||
| 03/28/2024 | ||
| 04/26/2023 |
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.
