Diane A. Shemi
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 Adele Shemi, who also goes by Diane Adele Dzik, 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 63, 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
March 16, 2011 - December 31, 2013
HIGH STREET SECURITIES, INC.
June 6, 2006 - January 12, 2009
LEGACY FINANCIAL SERVICES, INC.
July 11, 2003 - June 30, 2004
EQUITABLE ADVISORS, LLC
August 7, 2002 - November 7, 2002
TRANSAMERICA SECURITIES SALES CORPORATION
July 11, 2000 - September 25, 2000
TBG FINANCIAL
March 25, 1993 - April 4, 2000
METLIFE INVESTORS DISTRIBUTION COMPANY
August 6, 1990 - March 2, 1993
INVEST FINANCIAL CORPORATION
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
HIGH STREET SECURITIES, INC.
CRD#: 104201 / SEC#: , 8-52657
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HIGH STREET ASSET MANAGEMENT, LLC | OWNER | |
| GRAFF, PAUL RICHARD | GENERAL SECURITIES PRINCIPAL - ASS'T TO DP | 1355392 |
| TERRY, JOHN LUDLOW III | CHIEF FINANCIAL OFFICER | 1972803 |
| TERRY, JOHN LUDLOW III | CHIEF EXECUTIVE OFFICER, PRESIDENT & EXECUTIVE REPRESENTATIVE, CHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER | 1972803 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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