Diane G. Reifert
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 Gary Reifert, who also goes by Diane Reifert, Diane Gary Thomas, was a registered financial professional .
Diane is a previously registered financial professional and started their career in finance in 1991. Diane had worked at 7 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2017 - February 8, 2022
TCFG WEALTH MANAGEMENT, LLC
December 8, 2016 - December 22, 2016
SECURITIES AMERICA, INC.
July 7, 2008 - December 8, 2016
FOOTHILL SECURITIES, INC.
January 21, 2003 - July 7, 2008
CROCKER SECURITIES LLC
July 15, 1998 - January 23, 2003
MORGAN STANLEY DW INC.
June 8, 1995 - September 15, 1998
CANTELLA & CO., INC.
September 23, 1991 - June 27, 1995
C. R. BOGGS FINANCIAL SERVICES, INC.
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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
TCFG WEALTH MANAGEMENT, LLC
CRD#: 164153 / SEC#: , 8-69089
Contact information
FINRA licenses (48 States and Territories)
Disclosures
| Civil Event | 1 |
Red Flags
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