Dianna K. Hamacher
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.
Dianna Key Hamacher, who also goes by Dianna K Hamacher, Dianna K Wyler, was a registered financial professional .
Dianna is a previously registered financial professional and started their career in finance in 1990. Dianna had worked at 12 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 2, 2008 - January 23, 2018
LPL FINANCIAL LLC
July 1, 2008 - January 23, 2018
LPL FINANCIAL LLC
September 19, 2007 - July 8, 2008
INVESTMENT ADVISORS INTERNATIONAL, INC.
July 12, 2004 - July 3, 2008
WORLD GROUP SECURITIES, INC.
July 13, 1998 - June 5, 2003
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
July 13, 1998 - June 5, 2003
OSAIC FA, INC.
May 5, 1997 - May 17, 1998
PATRICK CAPITAL MARKETS, LLC
September 6, 1996 - March 24, 1997
COMPULIFE INVESTOR SERVICES, INC.
February 15, 1995 - August 22, 1996
PATRICK CAPITAL MARKETS, LLC
August 2, 1994 - February 22, 1995
DONAHUE SECURITIES, INC.
December 9, 1993 - August 11, 1994
BANC ONE SECURITIES CORPORATION
May 11, 1993 - June 17, 1993
FINANCIAL HORIZONS SECURITIES CORPORATION
November 15, 1990 - May 7, 1993
MARINER FINANCIAL SERVICES, INC.
March 29, 1990 - November 19, 1990
NEW ENGLAND SECURITIES
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
