Diane B. Hajecki
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 Buscaglia Hajecki, CFP®, who also goes by Diane B Buscaglia, Diane E Buscaglia, Diane B Drago, was a registered financial professional .
Diane is a previously registered financial professional and started their career in finance in 1990. Diane had worked at 7 firms and has passed the Series 65, 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
April 30, 2012 - November 2, 2017
LEIGH BALDWIN & CO., LLC
December 3, 2007 - January 6, 2012
HORNOR, TOWNSEND & KENT, LLC
January 29, 2004 - December 3, 2007
1717 CAPITAL MANAGEMENT COMPANY
March 24, 2003 - January 2, 2004
M&T SECURITIES, INC.
May 16, 2002 - March 25, 2003
CADARET, GRANT & CO., INC.
October 22, 1996 - April 18, 2002
1717 CAPITAL MANAGEMENT COMPANY
April 20, 1990 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
April 20, 1990 - November 13, 1996
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
LEIGH BALDWIN & CO., LLC
CRD#: 38751 / SEC#: 801-69290, 8-48385
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
LEIGH BALDWIN & CO., LLC
CRD#: 38751 / SEC#: 801-69290, 8-48385
Contact information
SEC notice filing (13 States and Territories)
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 756 |
| AUM (Assets Under Management) | $ 285,522,208 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
| Bond | 1 |
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.
