Diane M. Dahl
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 Dahl, who also goes by Diane Marie Bergan, was a registered financial professional .
Diane is a previously registered financial professional and started their career in finance in 1994. Diane had worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2012 - October 30, 2012
BMO HARRIS FINANCIAL ADVISORS, INC.
July 27, 2010 - April 25, 2012
M&I INVESTMENT MANAGEMENT CORP.
November 8, 2002 - August 1, 2012
M&I FINANCIAL ADVISORS, INC
January 3, 2000 - October 14, 2002
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 15, 1998 - December 31, 1999
CETERA INVESTMENT SERVICES LLC
August 30, 1997 - March 10, 1998
CITISTREET EQUITIES LLC
August 8, 1997 - August 28, 1997
METLIFE INVESTORS DISTRIBUTION COMPANY
February 1, 1994 - August 8, 1997
LUTHERAN BROTHERHOOD SECURITIES CORP.
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
BMO HARRIS FINANCIAL ADVISORS, INC.
CRD#: 137115 / SEC#: 801-64847, 8-67064
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 7 |
Red Flags
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