John M. Diehl

THE PRUDENT PLANNER

Salt Lake City, UT 84101-1712

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CRD#: 4136906

Professional summary

John Michael Diehl, CFP®, who also goes by John M. Diehl, is a registered financial advisor currently at THE PRUDENT PLANNER, LLC located in Salt Lake City, Utah.

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

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John M. Diehl

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.

Mr. Diehl is a licensed insurance agent in order to offer education and advice to his clients. He is not paid a commission or renewal payment for this service.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Michael Diehl'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®

CFP^®

Certified Financial Planner

Start date: 2011

Experience

Current

December 1, 2016 - Present

THE PRUDENT PLANNER, LLC

Office #1: 333 Pierpont Avenue Suite 4, Salt Lake City, UT 84101-1712

RIA

CRD#: 285028

Salt Lake City, UT

Past

May 17, 2011 - August 21, 2015

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

SALT LAKE CITY, UT

Past

May 13, 2011 - August 11, 2015

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SALT LAKE CITY, UT

Past

February 16, 2010 - April 12, 2011

USAA FINANCIAL PLANNING SERVICES

RIA

CRD#: 106352

SAN ANTONIO, TX

Past

February 2, 2010 - April 12, 2011

USAA FINANCIAL ADVISORS, INC.

CRD#: 129035

SAN ANTONIO, TX

Past

January 4, 2008 - March 26, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

PORTLAND, OR

Past

November 30, 2007 - March 26, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

PORTLAND, OR

Past

July 31, 2000 - December 6, 2005

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

March 20, 2000 - June 15, 2000

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

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

Utah
(12/1/2016)

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: 1/3/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/27/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/11/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/24/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/17/2000

Investment Company Products/Variable Contracts Representative Examination

Current Firm

THE PRUDENT PLANNER, LLC

THE PRUDENT PLANNER | THE PRUDENT PLANNER, LLC

CRD#: 285028 / SEC#:

Utah

Registered Investment Advisory firm - (11/30/2016 Approved)

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Contact information

Main Address

333 Pierpont Avenue Suite 4, Salt Lake City, UT 84101-1712

Mailing Address

Phone number

(801) 201-7012

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	6
AUM (Assets Under Management)	$ 1,250,000

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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Advisor Monitoring

Firm Stability Insights

John M. Diehl

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Michael Diehl's CRS (Customer Relationship Summary).

Certified licenses

Experience

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

USAA FINANCIAL PLANNING SERVICES

USAA FINANCIAL ADVISORS, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA SECURITIES LLC

BANC OF AMERICA INVESTMENT SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/3/2008

Series 63

Date: 3/27/2000

SIE

Date: 8/11/2015

Series 7

Date: 8/24/2000

Series 6

Date: 3/17/2000

Current Firm

THE PRUDENT PLANNER, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

THE PRUDENT PLANNER, LLC

TRUST BUT VERIFY

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