Diana J. Kaspic

PROGRESSIVE INVESTMENT MANAGEMENT

South Bend, WA

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CRD#: 2490711

Professional summary

Diana Jean Kaspic is a registered financial advisor currently at PROGRESSIVE INVESTMENT MANAGEMENT CORPORATION located in South Bend, Washington.

Diana is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Diana has worked at 2 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Diana Jean Kaspic's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 19, 2018 - Present

PROGRESSIVE INVESTMENT MANAGEMENT CORPORATION

RIA

CRD#: 107777

South Bend, WA

Past

April 12, 1995 - July 11, 1995

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PROGRESSIVE INVESTMENT MANAGEMENT CORPORATION

PORTFOLIO 21 | PROGRESSIVE INVESTMENT MANAGEMENT CORPORATION | PROGRESSIVE INVESTMENT MANAGEMENT CORP | PROGRESSIVE INVESTMENT MANAGEMENT | PORTFOLIO 21 INVESTMENTS, INC

CRD#: 107777 / SEC#: 801-32066

RIA

Registered Investment Advisory firm - (2/28/1988 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Oregon
(12/19/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/19/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/23/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/11/1995

General Securities Representative Examination

Current Firm

PROGRESSIVE INVESTMENT MANAGEMENT CORPORATION

PORTFOLIO 21 | PROGRESSIVE INVESTMENT MANAGEMENT CORPORATION | PROGRESSIVE INVESTMENT MANAGEMENT CORP | PROGRESSIVE INVESTMENT MANAGEMENT | PORTFOLIO 21 INVESTMENTS, INC

CRD#: 107777 / SEC#: 801-32066

RIA

Registered Investment Advisory firm - (2/28/1988 Approved)

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Contact information

Main Address

310 N. State Street Suite 214, Lake Oswego, OR 97034

Mailing Address

Phone number

(503) 224-7828

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PROGRESSIVE ADV 2A (3/14/2025)

Regulatory assets under management

Total Number of Accounts	475
AUM (Assets Under Management)	$ 700,322,944

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.

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Diana J. Kaspic

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Diana Jean Kaspic's CRS (Customer Relationship Summary).

Certified licenses

Experience

PROGRESSIVE INVESTMENT MANAGEMENT CORPORATION

WALNUT STREET SECURITIES, INC.

Primary Firm SEC Registration

PROGRESSIVE INVESTMENT MANAGEMENT CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 12/19/2018

Series 63

Date: 5/23/1994

Series 7

Date: 4/11/1995

Current Firm

PROGRESSIVE INVESTMENT MANAGEMENT CORPORATION

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROGRESSIVE INVESTMENT MANAGEMENT CORPORATION

TRUST BUT VERIFY

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