Diana M. Rossetti
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.
Diana Margaret Rossetti, who also goes by Diana M Rossettijohnson, Diana Margaret Rossettijohnson, was a registered financial professional .
Diana is a previously registered financial professional and started their career in finance in 1993. Diana had worked at 4 firms and has passed the Series 65, Series 63 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
April 25, 2001 - December 31, 2010
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
April 25, 2001 - January 4, 2013
MANULIFE INVESTMENT MANAGEMENT (US) LLC
February 1, 2001 - January 3, 2013
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
February 12, 1993 - January 18, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
CRD#: 105790 / SEC#: 801-8124
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
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
CRD#: 105790 / SEC#: 801-8124
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 35,239 |
| AUM (Assets Under Management) | $ 202,193,176,436 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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