Diana S. Simpson
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 Susan Simpson, who also goes by Diana Susan Grossman, 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 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
May 29, 2014 - January 7, 2016
APPROACH RETIREMENT ADVISORS, LLC
January 2, 2003 - December 31, 2005
WELCH INVESTMENTS, LLC
November 23, 1999 - July 13, 2011
WELCH INVESTMENTS, LLC
June 23, 1993 - September 17, 1999
IDS LIFE INSURANCE COMPANY
June 23, 1993 - September 17, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
APPROACH RETIREMENT ADVISORS, LLC
CRD#: 166221 / SEC#: 801-121714
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
APPROACH RETIREMENT ADVISORS, LLC
CRD#: 166221 / SEC#: 801-121714
Contact information
SEC notice filing (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 546 |
| AUM (Assets Under Management) | $ 199,408,341 |
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.
