Diana T. Stanis
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.
Diana Theresa Stanis, CFP®, who also goes by Diana Theresa O'keeffe, was a registered financial professional .
Diana is a previously registered financial professional and started their career in finance in 2000. Diana had worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2001
Experience
October 10, 2018 - December 31, 2022
CLARITY FINANCIAL MANAGEMENT
November 28, 2017 - September 11, 2018
LPL FINANCIAL LLC
March 17, 2000 - September 11, 2018
LPL FINANCIAL LLC
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
CLARITY FINANCIAL MANAGEMENT
CRD#: 297959 / SEC#: 801-119835
Contact information
Regulatory assets under management
| Total Number of Accounts | 139 |
| AUM (Assets Under Management) | $ 50,917,486 |
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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