Diann Hickman
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.
Diann Hickman, who also goes by Diann Glaser, was a registered financial professional .
Diann is a previously registered financial professional and started their career in finance in 1992. Diann had worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 2012 - October 1, 2015
FFEC WEALTH PARTNERS LLC
January 20, 2009 - January 5, 2012
LPL FINANCIAL LLC
April 1, 2005 - January 21, 2009
CUE FINANCIAL GROUP, INC.
May 13, 2003 - April 6, 2005
CETERA WEALTH SERVICES, LLC
February 1, 1996 - May 2, 2003
BANC ONE SECURITIES CORPORATION
January 9, 1992 - February 1, 1996
BANC ONE ARIZONA INVESTMENT SERVICES CORPORATION
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
FFEC WEALTH PARTNERS LLC
CRD#: 16507 / SEC#: 801-63970, 8-34082
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,755 |
| AUM (Assets Under Management) | $ 2,371,850,816 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
