Diana M. Petersen
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.
Diana Marie Petersen, who also goes by Diana Chauvin, Dee Dee Petersen, was a registered financial professional .
Diana is a previously registered financial professional and started their career in finance in 1993. Diana had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 23, 2013 - December 10, 2015
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
November 26, 2013 - December 10, 2015
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 19, 2003 - November 25, 2013
FINTEGRA, LLC
January 6, 2000 - August 20, 2003
INVESTMENT CENTERS OF AMERICA, INC.
July 21, 1999 - December 31, 1999
CROWN CAPITAL SECURITIES, L.P.
March 31, 1999 - July 22, 1999
MUTUAL SERVICE CORPORATION
May 19, 1993 - March 31, 1999
TITAN/VALUE EQUITIES GROUP, INC.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
