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DG

Diana L. Godwin

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CRD#: 4138073
DG

Professional summary

Diana Lynn Adkins Godwin was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Diana is a previously registered financial professional and started their career in finance in 2000. Prior to being barred, Diana had worked at 1 firm, which includes WILMINGTON BROKERAGE SERVICES COMPANY.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Diana Lynn Adkins

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 3, 2000 - November 9, 2005

WILMINGTON BROKERAGE SERVICES COMPANY

BD
CRD#: 14942
WILMINGTON, DE

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/23/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 3/2/2000
Investment Company Products/Variable Contracts Representative Examination

Current Firm

WB
WILMINGTON BROKERAGE SERVICES COMPANY
WILMINGTON BROKERAGE SERVICES COMPANY

CRD#: 14942 / SEC#: , 8-31441

BD
Terminated by SEC on 04/06/2012
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 09/17/1981
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MANUFACTURERS AND TRADERS TRUST COMPANYOWNER
GOULDING, CAROL ANNDIRECTOR, CHIEF COMPLIANCE OFFICER2410336
KEANE, MICHAEL JDIRECTOR, CFO5630279
RANDALL, CHRISTOPHER DOUGLASDIRECTOR, PRESIDENT1567178
STINSON, SUSANDIRECTOR5958854
TALMAN, MARILYNDIRECTOR5123010

Disclosures

Regulatory Event16

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.

Company Information

WILMINGTON BROKERAGE SERVICES COMPANY

CRD#: 14942

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