Diane E. Hensley
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 Elizabeth Hensley, who also goes by Diana Elizabeth Austin, Diane Elizabeth Austin, Diana Austin Hensley, was a registered financial professional .
Diane is a previously registered financial professional and started their career in finance in 2000. Diane had worked at 4 firms and has passed the Series 66, 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
Experience
January 2, 2009 - July 11, 2016
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
December 5, 2007 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 9, 2007 - July 11, 2016
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 1, 2005 - November 14, 2007
A. G. EDWARDS & SONS, INC.
September 25, 2000 - November 14, 2007
A. G. EDWARDS & SONS, INC.
May 23, 2000 - August 22, 2000
EDWARD JONES
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
