Diane M. Wasilk
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 Marie Wasilk, who also goes by Diane M Wasilk, Diane Marie Zubriski, was a registered financial professional .
Diane is a previously registered financial professional and started their career in finance in 1994. Diane had worked at 9 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
February 28, 2022 - April 16, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
February 18, 2022 - April 16, 2024
FIDELITY BROKERAGE SERVICES LLC
June 30, 2011 - December 3, 2021
MORGAN STANLEY
June 28, 2011 - December 3, 2021
MORGAN STANLEY
April 1, 2004 - May 2, 2011
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 27, 2003 - November 13, 2003
KRD FINANCIAL, LLC
September 15, 2003 - November 14, 2003
REGAL SECURITIES, INC.
November 23, 1999 - November 27, 2001
CITIGROUP GLOBAL MARKETS INC.
January 20, 1999 - October 6, 1999
SIGNATOR INVESTORS, INC.
March 1, 1994 - January 5, 1999
SECURITIES AMERICA, 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
Current Firm
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
