Diana L. Hoppes
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 Lynn Hoppes, who also goes by Diana Lynn Barrows, was a registered financial professional .
Diana is a previously registered financial professional and started their career in finance in 1991. Diana had worked at 12 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
April 4, 2012 - December 9, 2014
CREATIVE FINANCIAL DESIGNS, INC.
April 4, 2012 - December 9, 2014
CFD INVESTMENTS, INC.
October 6, 2011 - November 10, 2011
CL WEALTH MANAGEMENT LLC
October 4, 2011 - November 10, 2011
ALLIED BEACON PARTNERS, INC.
June 28, 2007 - October 3, 2011
WORKMAN SECURITIES CORPORATION
December 8, 2005 - October 3, 2011
WORKMAN SECURITIES CORPORATION
October 29, 2003 - October 26, 2005
USALLIANZ SECURITIES, INC.
November 4, 2002 - October 26, 2005
USALLIANZ SECURITIES, INC.
April 16, 2001 - October 16, 2002
USALLIANZ SECURITIES, INC.
November 15, 2000 - October 16, 2002
USALLIANZ SECURITIES, INC.
April 3, 1995 - November 16, 2000
WOODBURY FINANCIAL SERVICES, INC.
February 10, 1994 - March 7, 1995
NYLIFE SECURITIES LLC
January 13, 1993 - January 11, 1994
SIGNATOR INVESTORS, INC.
January 12, 1993 - January 11, 1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
August 27, 1992 - December 11, 1992
CETERA WEALTH SERVICES, LLC
July 2, 1991 - August 31, 1992
LINCOLN FINANCIAL DISTRIBUTORS, INC.
Primary Firm SEC Registration
CREATIVE FINANCIAL DESIGNS, INC.
CRD#: 109032 / SEC#: 801-60153
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
CREATIVE FINANCIAL DESIGNS, INC.
CRD#: 109032 / SEC#: 801-60153
Contact information
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 14,029 |
| AUM (Assets Under Management) | $ 2,478,773,967 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/22/2024 | ||
| 01/05/2024 | ||
| 01/10/2023 |
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.
