Diana L. Burrell-gwydyr
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 Lamb Squire Burrell-gwydyr, who also goes by Diana Burrell, Diana L Burrell-gwydyr, Diana Lamb Squire Burrellgwydyr, was a registered financial professional .
Diana is a previously registered financial professional and started their career in finance in 1995. Diana had worked at 10 firms and has passed the Series 65, Series 63, Series 7, Series 53 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
January 17, 2012 - July 19, 2012
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
November 4, 2011 - July 19, 2012
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
April 19, 2010 - April 5, 2011
INVEST FINANCIAL CORPORATION
April 19, 2010 - April 5, 2011
INVEST FINANCIAL CORPORATION
January 2, 2008 - March 2, 2010
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
January 2, 2008 - March 2, 2010
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
February 6, 2007 - November 23, 2007
REGAL ADVISORY SERVICES, INC.
January 3, 2007 - November 23, 2007
REGAL SECURITIES, INC.
June 22, 2001 - December 31, 2006
SAMCO FINANCIAL SERVICES, INC.
June 22, 2001 - December 31, 2006
SAMCO FINANCIAL SERVICES, INC.
April 6, 2000 - September 1, 2000
PENSON FINANCIAL SERVICES, INC.
April 6, 2000 - October 2, 2001
SERVICE ASSET MANAGEMENT COMPANY
August 7, 1996 - March 27, 2000
MOMENTUM INDEPENDENT NETWORK INC.
March 15, 1995 - August 1, 1996
SEI INVESTMENTS DISTRIBUTION CO.
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
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
