Diana T. Stargel
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 Teal Stargel, who also goes by Diana Teal Colby, Diana T Stargel, Diana Teal Wells, was a registered financial professional .
Diana is a previously registered financial professional and started their career in finance in 1994. Diana had worked at 7 firms and has passed the Series 63, 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
January 13, 2017 - February 16, 2018
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 20, 2014 - December 2, 2016
CETERA INVESTMENT ADVISERS LLC
May 20, 2014 - December 2, 2016
CETERA INVESTMENT SERVICES LLC
September 4, 2012 - May 2, 2014
LPL FINANCIAL LLC
August 27, 2012 - May 2, 2014
LPL FINANCIAL LLC
January 2, 2009 - August 27, 2012
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
April 7, 2008 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 1, 2008 - August 27, 2012
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 6, 2005 - April 4, 2008
INVEST FINANCIAL CORPORATION
September 6, 2005 - April 4, 2008
INVEST FINANCIAL CORPORATION
July 7, 1994 - September 21, 2005
CITIGROUP GLOBAL MARKETS INC.
June 14, 1994 - September 21, 2005
CITIGROUP GLOBAL MARKETS 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
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
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.
