Diana K. Biggs
Professional summary
Diana Kay Biggs was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Diana is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Diana had worked at 3 firms, which includes QA3 FINANCIAL CORP., KESTRA INVESTMENT SERVICES LLC, NATIONAL PLANNING CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 12, 2001 - June 3, 2004
QA3 FINANCIAL CORP.
October 10, 2000 - August 29, 2001
KESTRA INVESTMENT SERVICES, LLC
August 30, 1995 - February 16, 1999
NATIONAL PLANNING CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
QA3 FINANCIAL CORP.
CRD#: 14754 / SEC#: , 8-31155
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
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