Diane M. Knight
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 Marie Knight, CFP®, who also goes by Diane Peterson, was a registered financial professional .
Diane is a previously registered financial professional and started their career in finance in 2000. Diane had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2006
Experience
December 21, 2022 - July 5, 2023
AW SECURITIES
December 21, 2022 - July 5, 2023
ALLWORTH FINANCIAL, L.P.
December 21, 2022 - July 5, 2023
AW SECURITIES
July 1, 2004 - December 21, 2022
LPL FINANCIAL LLC
July 1, 2004 - December 21, 2022
LPL FINANCIAL LLC
September 10, 2002 - July 6, 2004
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 5, 2002 - July 6, 2004
TRANSAMERICA FINANCIAL ADVISORS, LLC
July 1, 2002 - August 13, 2002
THRIVENT INVESTMENT MANAGEMENT INC.
April 20, 2000 - July 1, 2002
LUTHERAN BROTHERHOOD SECURITIES CORP.
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
AW SECURITIES
CRD#: 103747 / SEC#: 801-69038, 8-52250
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLWORTH FINANCIAL GROUP, L.P. | GENERAL PARTNER | |
| BEATON, DANIEL STEWART | FINOP | 4240769 |
| FRIZE, BERNARD JOSEPH JR | CHIEF COMPLIANCE OFFICER - BD | 2366022 |
| GAMBLE, COREY C | CHIEF COMPLIANCE OFFICER - IA/ENTERPRISE CCO | 4919573 |
| GREENBERG, BARRY YALE | CHIEF LEGAL COUNSEL | 5863733 |
| GRIGSBY, GARY LAWSON | CEO | 3167632 |
| TAYLOR, KRISTIAN LEIGH | VICE PRESIDENT- OPERATIONS | 4163800 |
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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