DS
Diane K. Sands
ALIGHT FINANCIAL SOLUTIONS
CHARLOTTE, NC 28269
Some features on this profile are disabled
CRD#: 3012319
DS
Professional summary
Diane Kimberly Sands is a registered financial professional currently at ALIGHT FINANCIAL SOLUTIONS, LLC located in Charlotte, North Carolina.
Diane is registered as a RR (Registered Representative) and started their career in finance in 1998. Diane has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Diane Kimberly Sands'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®
NoneExperience
Current
June 20, 2007 - Present
ALIGHT FINANCIAL SOLUTIONS, LLC
Office #1: 9335 Harris Corners Parkway Ste 150, Charlotte, NC 28269BD
CRD#: 36509
CHARLOTTE, NC
Past
November 8, 2007 - May 24, 2011
ALIGHT FINANCIAL SOLUTIONS, LLC
RIA
CRD#: 36509
LINCOLNSHIRE, IL
Past
November 28, 2005 - June 13, 2007
E*TRADE SECURITIES LLC
BD
CRD#: 29106
CHARLOTTE, NC
Past
October 2, 2000 - November 12, 2004
FEDERATED SECURITIES CORP.
BD
CRD#: 5009
PITTSBURGH, PA
Past
November 25, 1998 - July 24, 2000
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
MALVERN, PA
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
Alabama(6/20/2007)
RR
Alaska(6/20/2007)
RR
Arizona(6/20/2007)
RR
Arkansas(6/20/2007)
RR
California(6/20/2007)
RR
Colorado(6/20/2007)
RR
Connecticut(6/20/2007)
RR
Delaware(6/20/2007)
RR
District of Columbia(6/20/2007)
RR
Florida(6/20/2007)
RR
Georgia(6/20/2007)
RR
Hawaii(6/20/2007)
RR
Idaho(6/20/2007)
RR
Illinois(6/20/2007)
RR
Indiana(6/20/2007)
RR
Iowa(6/20/2007)
RR
Kansas(6/20/2007)
RR
Kentucky(6/20/2007)
RR
Louisiana(6/20/2007)
RR
Maine(6/20/2007)
RR
Maryland(6/20/2007)
RR
Massachusetts(6/20/2007)
RR
Michigan(6/20/2007)
RR
Minnesota(6/20/2007)
RR
Mississippi(6/20/2007)
RR
Missouri(6/20/2007)
RR
Montana(6/20/2007)
RR
Nebraska(6/20/2007)
RR
Nevada(6/20/2007)
RR
New Hampshire(6/20/2007)
RR
New Jersey(6/20/2007)
RR
New Mexico(6/20/2007)
RR
New York(6/20/2007)
RR
North Carolina(6/20/2007)
RR
North Dakota(6/20/2007)
RR
Ohio(6/20/2007)
RR
Oklahoma(6/20/2007)
RR
Oregon(6/20/2007)
RR
Pennsylvania(6/20/2007)
RR
Puerto Rico(6/20/2007)
RR
Rhode Island(6/20/2007)
RR
South Carolina(6/20/2007)
RR
South Dakota(6/20/2007)
RR
Tennessee(6/20/2007)
RR
Texas(6/20/2007)
RR
Utah(6/20/2007)
RR
Vermont(6/20/2007)
RR
Virginia(6/20/2007)
RR
Washington(6/20/2007)
RR
West Virginia(6/20/2007)
RR
Wisconsin(6/20/2007)
RR
Wyoming(6/20/2007)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AF
ALIGHT FINANCIAL SOLUTIONS, LLC
ALIGHT FINANCIAL SOLUTIONS, LLC | HEWITT SERVICES LLC | HEWITT FINANCIAL SERVICES LLC
CRD#: 36509 / SEC#: , 8-47344
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
320 South Canal Street 50th Floor, Chicago, IL 60606
Mailing Address
9335 Harris Corners Parkway Suite 150, Charlotte, NC 28269
Phone number
(224) 737-7000
Established
Illinois since 04/08/1994
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
