Diane J. Laing
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 Judith Laing, who also goes by Diane J Laing, Diane J Sciro, Diane Judith Sciro, was a registered financial professional .
Diane is a previously registered financial professional and started their career in finance in 1996. Diane had worked at 4 firms and has passed the 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
September 22, 2015 - December 31, 2016
GE CAPITAL MARKETS, INC.
November 21, 2008 - June 3, 2014
SG AMERICAS SECURITIES, LLC
February 13, 2006 - December 3, 2008
UBS SECURITIES LLC
August 9, 1996 - January 26, 2006
RAYMOND JAMES & ASSOCIATES, 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
GE CAPITAL MARKETS, INC.
CRD#: 13349 / SEC#: , 8-29149
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
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.
