Diane K. Case

SHENANDOAH FINANCIAL

Charles Town, WV

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CRD#: 2579048

Professional summary

Diane Kathleen Case, who also goes by Diane Kathleen Norton, is a registered financial advisor currently at SHENANDOAH FINANCIAL located in Charles Town, West Virginia.

Diane is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Diane has worked at 8 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Diane Kathleen Norton

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 Diane Kathleen Case's 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

April 18, 2017 - Present

SHENANDOAH FINANCIAL

RIA

CRD#: 287751

Charles Town, WV

Past

October 6, 2015 - December 31, 2016

GRADIENT ADVISORS, LLC

RIA

CRD#: 152665

Charles Town, WV

Past

April 18, 2008 - December 31, 2012

EQUITY SERVICES, INC.

RIA

CRD#: 265

WINSTON/SALEM, NC

Past

April 18, 2008 - December 31, 2012

EQUITY SERVICES, INC.

CRD#: 265

WINSTON/SALEM, NC

Past

April 26, 2007 - December 31, 2007

SOUTHEAST INVESTMENTS, N.C. INC

RIA

CRD#: 132561

KERNERSVILLE, NC

Past

January 31, 2007 - December 31, 2007

SOUTHEAST INVESTMENTS, N.C., INC.

CRD#: 43035

CHARLOTTE, NC

Past

June 16, 2005 - December 31, 2006

INVESTORS CAPITAL CORP.

RIA

CRD#: 30613

KERNERSVILLE, NC

Past

May 7, 2002 - June 16, 2005

EASTERN POINT ADVISORS INC.

RIA

CRD#: 107123

KERNERSVILLE, NC

Past

December 22, 2000 - December 31, 2006

INVESTORS CAPITAL CORP.

CRD#: 30613

LYNNFIELD, MA

Past

March 9, 1995 - January 3, 2001

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

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

West Virginia
(4/18/2017)

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: 1/21/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/8/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 3/8/1995

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SHENANDOAH FINANCIAL

CASE, DIANE | SHENANDOAH FINANCIAL

CRD#: 287751 / SEC#:

West Virginia

Registered Investment Advisory firm - (4/13/2017 Approved)

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Contact information

Main Address

Charles Town, WV

Mailing Address

Phone number

(304) 885-8357

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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Advisor Monitoring

Firm Stability Insights

Diane K. Case

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Diane Kathleen Case's CRS (Customer Relationship Summary).

Certified licenses

Experience

SHENANDOAH FINANCIAL

GRADIENT ADVISORS, LLC

EQUITY SERVICES, INC.

EQUITY SERVICES, INC.

SOUTHEAST INVESTMENTS, N.C. INC

SOUTHEAST INVESTMENTS, N.C., INC.

INVESTORS CAPITAL CORP.

EASTERN POINT ADVISORS INC.

INVESTORS CAPITAL CORP.

WS GRIFFITH SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/21/2016

Series 63

Date: 3/8/1995

Series 6

Date: 3/8/1995

Current Firm

SHENANDOAH FINANCIAL

Contact information

Documents

Red Flags

Company Information

SHENANDOAH FINANCIAL

TRUST BUT VERIFY

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