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DH

Diane D. Hurley

HARRIS ASSOCIATES SECURITIES L.P.
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 2804707
DH

Professional summary

Diane Deborah Hurley, who also goes by Diane Deborah Pieper, is a registered financial professional currently at HARRIS ASSOCIATES SECURITIES L.P. located in Chicago, Illinois.

Diane is registered as a RR (Registered Representative) and started their career in finance in 1996. Diane has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Diane Deborah Pieper

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) - BD

Click below to view Diane Deborah Hurley'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

May 4, 2005 - Present

HARRIS ASSOCIATES SECURITIES L.P.

Office #1: 111 S. Wacker Drive Suite 4600, Chicago, IL 60606Office #2: 111 S. Wacker Drive Suite 4600, Chicago, IL 60606
BD
CRD#: 6959
Chicago, IL
Past

January 2, 2002 - April 22, 2005

STERLING CAPITAL DISTRIBUTORS, LLC

BD
CRD#: 103934
PORTLAND, ME
Past

February 23, 2000 - January 2, 2002

FORESIDE FUNDS DISTRIBUTORS LLC

BD
CRD#: 31334
PORTLAND, ME
Past

January 1, 1998 - March 15, 1999

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

BD
CRD#: 3466
NEW YORK, NY
Past

October 24, 1996 - December 2, 1997

FIRSTAR INVESTMENT SERVICES,INC.

BD
CRD#: 14536
MORRIS PLAINS, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Illinois
(5/4/2005)

Exams

State Security Law Exam
RR
Series 63
Date: 12/19/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/23/1996
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

HA
HARRIS ASSOCIATES SECURITIES L.P.
HARRIS ASSOCIATES SECURITIES L.P. | HARRIS ASSOCIATES, INC.

CRD#: 6959 / SEC#: , 8-19988

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
111 S. Wacker Drive Suite 4600, Chicago, IL 60606
Mailing Address
111 S. Wacker Drive Suite 4600, Chicago, IL 60606
Phone number
(312) 646-3600
Established
Delaware since 12/12/1986
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
HARRIS ASSOCIATES L.P.LIMITED PARTNER
HARRIS ASSOCIATES INC.GENERAL PARTNER
KELLER, CHRISTOPHER WOLFGANGPRESIDENT2865184
PIETRAS, MICHAELCHIEF COMPLIANCE OFFICER4278774
WEBER, ZACHARY DAVIDPRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER5483343
WRIGHT, RANA JEWELCHIEF LEGAL AND ADMINISTRATIVE OFFICER6357277

Disclosures

Regulatory Event2

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.

Company Information

HARRIS ASSOCIATES SECURITIES L.P.

CRD#: 6959Chicago, IL 60606

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