Diane M. Wilke
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 Marie Wilke, who also goes by Diane Marie Mcswain, Diane Wilke, was a registered financial professional .
Diane is a previously registered financial professional and started their career in finance in 1991. Diane had worked at 5 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 4, 2001 - March 1, 2004
WFG INVESTMENTS, INC.
June 5, 1995 - December 12, 2001
NATIONAL SECURITIES CORPORATION
March 4, 1993 - June 5, 1995
G.R. STUART & COMPANY, INC.
August 14, 1992 - March 31, 2025
MCKINLEY CAPITAL MANAGEMENT, LLC
February 22, 1991 - March 11, 1993
FIRST AFFILIATED SECURITIES
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
WFG INVESTMENTS, INC.
CRD#: 22704 / SEC#: , 8-39928
Contact information
Documents
Disclosures
| Regulatory Event | 23 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
