Diana F. Butts
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.
Diana Fay Butts, who also goes by Diana Fay Butts Ms, Diana Yates, was a registered financial professional .
Diana is a previously registered financial professional and started their career in finance in 1999. Diana had worked at 1 firm and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24, Series 51 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
August 21, 2007 - June 26, 2020
GBS RETIREMENT SERVICES, INC.
September 21, 1999 - June 26, 2020
GBS RETIREMENT SERVICES, 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
Current Firm
GBS RETIREMENT SERVICES, INC.
CRD#: 34889 / SEC#: , 8-46433
Contact information
FINRA licenses (11 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GALLAGHER BENEFIT SERVICES, INC. | OWNER | |
| AMAYA, PATRICK | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 4519000 |
| MCCLARY, AMY G | VICE PRESIDENT, GLOBAL TAX | |
| ZIEBELL, WILLIAM F | CEO/DIRECTOR |
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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