Diane B. Brewer
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 Betty Brewer, who also goes by Diane B Brewer, was a registered financial professional .
Diane is a previously registered financial professional and started their career in finance in 1997. Diane had worked at 8 firms and has passed the Series 65, Series 63 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
March 15, 2011 - March 12, 2012
WADDELL & REED
March 15, 2011 - March 12, 2012
WADDELL & REED
April 8, 2010 - March 1, 2011
MML INVESTORS SERVICES, LLC
April 28, 2006 - February 4, 2010
WADDELL & REED
April 10, 2006 - February 4, 2010
WADDELL & REED
November 10, 2003 - May 25, 2005
CITICORP INVESTMENT SERVICES
September 15, 2003 - October 6, 2003
ESSEX NATIONAL SECURITIES, LLC
March 28, 2002 - September 15, 2003
GATEWAY INVESTMENT SERVICES, INC.
September 29, 1998 - March 14, 2002
MML INVESTORS SERVICES, LLC
May 27, 1998 - June 18, 1998
METROPOLITAN LIFE INSURANCE COMPANY
May 27, 1998 - June 18, 1998
MSI FINANCIAL SERVICES, INC.
October 27, 1997 - February 19, 1998
METLIFE INVESTORS DISTRIBUTION COMPANY
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
WADDELL & REED
CRD#: 866 / SEC#: 801-16720, 8-27030
Contact information
FINRA licenses (1 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WADDELL & REED FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHAIRMAN OF THE BOARD | 4003349 |
| DALEY, MICHAEL JOHN | VP AND FINANCIAL AND OPERATIONS PRINCIPAL | 6923129 |
| HANSEN, ELIZABETH ANN | SVP AND CHIEF COMPLIANCE OFFICER | 2199658 |
| HORAN-ADAMS, KIRBY LEPAK | EXECUTIVE VICE PRESIDENT | 5097259 |
| KRAMPER, MATTHEW SCOTT | VP AND PRINCIPAL OPERATIONS OFFICER | 2750651 |
| MIHAL, SHAWN MICHAEL | EXECUTIVE VICE PRESIDENT | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | ASSISTANT TREASURER | 2420144 |
| OROSCHAKOFF, MICHELLE | VICE-CHAIRMAN OF THE BOARD | 2403199 |
| SIMONICH, BRENT BLAIN | TREASURER | 3254859 |
Disclosures
| Regulatory Event | 29 |
| Civil Event | 1 |
| Arbitration | 11 |
| 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.
