Diana A. Henderson

HENDERSON ASSET MANAGEMENT

BEND, OR 97703

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CRD#: 4071813

Professional summary

Diana Anita Henderson, who also goes by Diana Bott, Diane Anita Bott, Diana Anita Chernofsky, Diana Bott Chernofsky, Diane Bott Chernofsky, Diane Anita Henderson, is a registered financial advisor currently at HENDERSON ASSET MANAGEMENT, LLC located in Bend, Oregon.

Diana is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Diana has worked at 7 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

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.

I ALSO PROVIDE LIFE, HEALTH, AND LONG TERM CARE INSURANCE TO CLIENTS THROUGH DIANA ANITA HENDERSON DBA EASTERN PACIFIC INSURANCE, OWNER, 2900 NW CLEARWATER DRIVE, STE 200-128, BEND, OR 97703 APPROXIMATELY 15 HOURS PER WEEK, 9 AM - 8 PM.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Diana Anita Henderson'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

September 24, 2009 - Present

HENDERSON ASSET MANAGEMENT, LLC

Office #1: 2900 Nw Clearwater Drive Ste 100, Bend, OR 97703

RIA

CRD#: 150876

BEND, OR

Past

March 19, 2009 - July 1, 2009

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

OCEANSIDE, CA

Past

April 30, 2008 - July 1, 2009

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

OCEANSIDE, CA

Past

July 8, 2005 - April 30, 2008

SCF SECURITIES, INC.

CRD#: 47275

SAN DIEGO, CA

Past

March 15, 2004 - July 19, 2005

1ST GLOBAL CAPITAL CORP.

CRD#: 30349

DALLAS, TX

Past

December 2, 2002 - March 19, 2004

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

Past

December 19, 2000 - October 17, 2002

USALLIANZ SECURITIES, INC.

CRD#: 40875

MINNEAPOLIS, MN

Past

March 23, 2000 - September 5, 2000

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(9/24/2009)

IAR

Hawaii
(7/12/2024)

IAR

Oregon
(4/5/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/2/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/17/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 3/22/2000

Investment Company Products/Variable Contracts Representative Examination

Current Firm

HENDERSON ASSET MANAGEMENT, LLC

CRD#: 150876 / SEC#:

California

Registered Investment Advisory firm - (9/24/2009 Approved)

Hawaii

Registered Investment Advisory firm - (5/22/2024 Approved)

Oregon

Registered Investment Advisory firm - (4/5/2024 Approved)

Washington

Registered Investment Advisory firm - (12/10/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

2900 Nw Clearwater Drive Ste 100, Bend, OR 97703

Mailing Address

320 Sw Century Drive Ste 405-394, Bend, OR 97702

Phone number

(360) 608-8650

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	34
AUM (Assets Under Management)	$ 6,808,708

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.

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Diana A. Henderson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Diana Anita Henderson's CRS (Customer Relationship Summary).

Certified licenses

Experience

HENDERSON ASSET MANAGEMENT, LLC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

SCF SECURITIES, INC.

1ST GLOBAL CAPITAL CORP.

MONY SECURITIES CORPORATION

USALLIANZ SECURITIES, INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/2/2009

Series 63

Date: 1/17/2001

Series 6

Date: 3/22/2000

Current Firm

HENDERSON ASSET MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

HENDERSON ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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