Diane M. Watson
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.
Diane Marie Watson, who also goes by Diane Marie Kolvek, Diane Watson Kolvek, Diane Watson Kolvek, Diane Marie Watson, Diane M Watson, was a registered financial professional .
Diane is a previously registered financial professional and started their career in finance in 1996. Diane had worked at 10 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 5, 2025 - June 22, 2026
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 1, 2021 - January 30, 2025
CETERA ADVISORS LLC
February 9, 2015 - April 8, 2021
AMERITAS INVESTMENT COMPANY, LLC
April 4, 2008 - February 10, 2015
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
June 26, 2007 - December 12, 2007
MML INVESTORS SERVICES, LLC
August 31, 2006 - April 30, 2007
SECURIAN FINANCIAL SERVICES, INC.
March 25, 2004 - October 28, 2005
FIDELITY DISTRIBUTORS COMPANY LLC
October 15, 2003 - February 10, 2004
TRANSAMERICA INVESTORS SECURITIES, LLC
February 23, 1999 - July 17, 1999
HIMCO DISTRIBUTION SERVICES COMPANY
May 8, 1996 - September 10, 1998
VOYA FINANCIAL ADVISORS, INC.
Primary Firm SEC Registration
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
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
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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.
