Tia D. Cirksena
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.
Tia Diane Cirksena, who also goes by Tia Diane Schroeder, Tia Diane Tama, was a registered financial professional .
Tia is a previously registered financial professional and started their career in finance in 2000. Tia had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 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
April 25, 2022 - October 3, 2023
ALLIANZ LIFE FINANCIAL SERVICES, LLC
April 11, 2016 - January 24, 2022
NATIONWIDE INVESTMENT ADVISORS, LLC
March 2, 2016 - January 24, 2022
NATIONWIDE INVESTMENT SERVICES CORPORATION
April 22, 2015 - February 23, 2016
LPL FINANCIAL LLC
April 22, 2015 - February 23, 2016
LPL FINANCIAL LLC
June 14, 2011 - October 7, 2014
EQUITABLE ADVISORS, LLC
June 10, 2011 - October 7, 2014
EQUITABLE ADVISORS, LLC
August 11, 2009 - September 9, 2010
STANCORP INVESTMENT ADVISERS, INC.
September 9, 2008 - September 9, 2010
STANCORP EQUITIES, INC.
August 12, 2005 - October 18, 2006
TRANSAMERICA INVESTORS SECURITIES, LLC
September 17, 2002 - March 18, 2004
PRINCIPAL SECURITIES, INC.
February 10, 2000 - September 13, 2001
METROPOLITAN LIFE INSURANCE COMPANY
February 10, 2000 - September 13, 2001
MSI FINANCIAL 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
ALLIANZ LIFE FINANCIAL SERVICES, LLC
CRD#: 612 / SEC#: , 8-13630
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANZ LIFE INSURANCE COMPANY OF NORTH AMERICA | OWNER | |
| DIAN, MATTHEW CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2246088 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| HELMEN, JOHN CURTIS | ASSISTANT VICE PRESIDENT, DISTRIBUTION NATIONAL ACCOUNTS | 4988276 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER | 4241291 |
| THOMES, ERIC JON | CHIEF EXECUTIVE OFFICER | 4645308 |
| WALTHER, COREY JAY | PRESIDENT | 2398952 |
| WYSOCKI, REBECCA | PRINCIPAL FINANCIAL OFFICER | 6558204 |
| WYSOCKI, REBECCA | CHIEF FINANCIAL OFFICER | 6558204 |
| WYSOCKI, REBECCA | PRINCIPAL OPERATIONS OFFICER | 6558204 |
Disclosures
| Regulatory Event | 1 |
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.
