Diana S. Mcglothen
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 Sue Mcglothen, who also goes by Diana Sue Lane, Diana Sue Neely, Diana Sue Pilant, Diana Sue Williford, was a registered financial professional .
Diana is a previously registered financial professional and started their career in finance in 1998. Diana had worked at 5 firms and has passed the SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 11, 2017 - May 5, 2023
ALLIANCE-ONE INVESTMENTS, LLC
December 11, 2012 - December 8, 2014
NEW ENGLAND SECURITIES
December 11, 2012 - August 11, 2017
METLIFE INVESTORS DISTRIBUTION COMPANY
January 26, 1998 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
January 26, 1998 - September 10, 2013
MSI FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
ALLIANCE-ONE INVESTMENTS, LLC
CRD#: 286025 / SEC#: , 8-69868
Contact information
Documents
Red Flags
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