Diane L. Esser
DIRECTION FINANCIAL MANAGEMENT
Germantown, WI 53022
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CRD#: 2008872
Professional summary
Diane Lynn Esser, CFP®, who also goes by Diane Lynn Kent, Diane Kent, is a registered financial advisor currently at DIRECTION FINANCIAL MANAGEMENT, LLC located in Germantown, Wisconsin.
Diane is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Diane has worked at 2 firms and has passed the Series 7 exam.
Biography
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At Direction Financial Management, we are not your typical advisers. We add a fresh perspective by planning for what matters most – to you. By focusing on your life goals and income, rather than assets and investment products, we design recommendations tailored to your specific situation. We want you to understand your current financial situation and how our recommendations will help you achieve your goals. There are no minimum requirements for net worth, income or investment account balances. We work with everyone.
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Question & Answer
What are your service offerings?
Employee and Employer Plan Ben...
Insurance Planning
Retirement Planning
Tax Planning
Social Security Planning
Comprehensive Financial Planni...
Investment Planning
Estate Planning
Do you have an area of expertise or specialization?
Hourly
Investment Advice without Ongo...
Middle Income Client Needs
Retirement Planning & Distribu...
Tax Planning
Women's Financial Planning Iss...
Are you a "fiduciary"?
Yes
Aliases
Diane Lynn Kent | Diane Kent
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Diane Lynn Esser's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2012
Experience
Current
January 11, 2013 - Present
DIRECTION FINANCIAL MANAGEMENT, LLC
Office #1: W177 N9856 Rivercrest Drive, Suite 214, Germantown, WI 53022RIA
CRD#: 165985
Germantown, WI
Past
October 4, 2012 - October 23, 2012
SII INVESTMENTS, INC.
BD
CRD#: 2225
PEWAUKEE, WI
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Wisconsin(1/11/2013)
Exams
General Industry/Product Exam
Current Firm
DIRECTION FINANCIAL MANAGEMENT, LLC
DIRECTION FINANCIAL MANAGEMENT, LLC
CRD#: 165985 / SEC#:
Wisconsin
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Contact information
Main Address
W177 N9856 Rivercrest Drive, Suite 214, Germantown, WI 53022
Mailing Address
Phone number
(414) 333-3396
Established
Firm type
Fiscal year end
# of Employees
1
Red Flags
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Company Information
DIRECTION FINANCIAL MANAGEMENT, LLC
CRD#: 165985Germantown, WI 53022TRUST BUT VERIFY
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