Diane C. Guggenheimer

SECURA FINANCIAL

ORANGE, CA 92868

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CRD#: 2143787

Professional summary

Diane Carol Guggenheimer is a registered financial advisor currently at SECURA FINANCIAL located in Orange, California.

Diane is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Diane has worked at 5 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. 03/27/2012-LAWRENCE DOYLE MEMORIAL TRUST -TRUSTEE. 1-2 HRS/MONTH 2. 06/2012 FINANCIAL SERVICES OF AMERICA; REGISTERED ASSISTANT

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Diane Carol Guggenheimer's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 1, 2014 - Present

SECURA FINANCIAL

Office #1: 333 City Blvd West 2050, Orange, CA 92868

RIA

CRD#: 137324

ORANGE, CA

Past

May 10, 2013 - November 22, 2013

J.W. COLE FINANCIAL, INC.

CRD#: 124583

ORANGE, CA

Past

June 1, 2012 - May 10, 2013

FINANCIAL ADVISERS OF AMERICA, LLC

CRD#: 142170

ORANGE, CA

Past

June 17, 1993 - June 8, 2012

LPL FINANCIAL LLC

CRD#: 6413

ORANGE, CA

Past

November 5, 1991 - July 9, 1993

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SECURA FINANCIAL

BARTH FINANCIAL ADVISORS, LLC | SECURA FINANCIAL, LLC | SECURA FINANCIAL | H.M. BARTH & COMPANY, LLC, FINANCIAL PLANNING & WEALTH MANAGEMENT | H.M. BARTH & COMPANY, LLC

CRD#: 137324 / SEC#: 801-113072

RIA

Registered Investment Advisory firm - (4/25/2018 Approved)

Alaska

Registered Investment Advisory firm - (5/24/2018 Terminated)

California

Registered Investment Advisory firm - (6/20/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(4/1/2014)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 7/19/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/4/1991

General Securities Representative Examination

Current Firm

SECURA FINANCIAL

BARTH FINANCIAL ADVISORS, LLC | SECURA FINANCIAL, LLC | SECURA FINANCIAL | H.M. BARTH & COMPANY, LLC, FINANCIAL PLANNING & WEALTH MANAGEMENT | H.M. BARTH & COMPANY, LLC

CRD#: 137324 / SEC#: 801-113072

RIA

Registered Investment Advisory firm - (4/25/2018 Approved)

Alaska

Registered Investment Advisory firm - (5/24/2018 Terminated)

California

Registered Investment Advisory firm - (6/20/2018 Terminated)

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Contact information

Main Address

333 City Boulevard West, Suite 2050, Orange, CA 92868-2944

Mailing Address

Phone number

(714) 704-6616

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP BROCHURE SEC (4/30/2025)

ADV2A AND 2B SEC (4/30/2025)

Regulatory assets under management

Total Number of Accounts	1,141
AUM (Assets Under Management)	$ 261,784,000

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.

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Diane C. Guggenheimer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Diane Carol Guggenheimer's CRS (Customer Relationship Summary).

Certified licenses

Experience

SECURA FINANCIAL

J.W. COLE FINANCIAL, INC.

FINANCIAL ADVISERS OF AMERICA, LLC

LPL FINANCIAL LLC

SENTRA SECURITIES CORPORATION

Primary Firm SEC Registration

SECURA FINANCIAL

State Registrations and Notice Filings

Exams

Series 63

Date: 7/19/1991

Series 7

Date: 11/4/1991

Current Firm

SECURA FINANCIAL

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SECURA FINANCIAL

TRUST BUT VERIFY

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