Diane L. Selph
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 Lynn Selph was a registered financial professional .
Diane is a previously registered financial professional and started their career in finance in 1995. Diane had worked at 6 firms and has passed the Series 63, Series 79TO, 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
April 20, 2011 - May 31, 2024
TCC SECURITIES, LLC
March 4, 2010 - January 31, 2011
MCCLENDON, MORRISON & PARTNERS, INC.
July 14, 2009 - December 31, 2009
FELTL & COMPANY
November 1, 2003 - September 4, 2008
BMO CAPITAL MARKETS CORP.
May 1, 1997 - November 1, 2003
HARRIS NESBITT CORP.
November 16, 1995 - March 20, 1997
BANC ONE CAPITAL 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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
TCC SECURITIES, LLC
CRD#: 153575 / SEC#: , 8-68553
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE CHICAGO CORPORATION | MEMBER | |
| DENISON, THOMAS CRAIG | CEO, CFO, FINOP, CCO, AMLCO, EXECUTIVE REP. | 3167542 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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