Diane M. Mcgugan
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 Matheus Mcgugan, who also goes by Diane M Mcgugan, was a registered financial professional .
Diane is a previously registered financial professional and started their career in finance in 1992. Diane had worked at 9 firms and has passed the SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 11, 2017 - May 6, 2021
ALLIANCE-ONE INVESTMENTS, LLC
October 22, 2012 - January 2, 2015
NEW ENGLAND SECURITIES
October 22, 2012 - June 30, 2016
MSI FINANCIAL SERVICES, INC.
April 1, 2006 - August 11, 2017
METLIFE INVESTORS DISTRIBUTION COMPANY
March 4, 2004 - April 1, 2006
TOWER SQUARE SECURITIES, INC.
September 21, 1999 - March 13, 2002
WS GRIFFITH SECURITIES, INC.
November 20, 1998 - July 15, 1999
VP DISTRIBUTORS LLC
March 1, 1996 - November 26, 1996
MML INVESTORS SERVICES, LLC
June 16, 1992 - March 1, 1996
G. R. PHELPS & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ALLIANCE-ONE INVESTMENTS, LLC
CRD#: 286025 / SEC#: , 8-69868
Contact information
Documents
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.
