Dianne L. Sentner
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.
Dianne Leslie Sentner, who also goes by Dianne Fitzgerald Sentner, Dianne Sentner, was a registered financial professional .
Dianne is a previously registered financial professional and started their career in finance in 2000. Dianne had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 14, 2017 - February 1, 2018
SECURIAN FINANCIAL SERVICES, INC.
August 15, 2017 - February 1, 2018
SECURIAN FINANCIAL SERVICES, INC.
June 4, 2015 - June 30, 2017
NYLIFE SECURITIES LLC
September 25, 2012 - October 16, 2014
TRUIST INVESTMENT SERVICES, INC.
September 6, 2012 - October 16, 2014
TRUIST INVESTMENT SERVICES, INC.
May 10, 2011 - September 7, 2012
LPL FINANCIAL LLC
March 31, 2011 - September 7, 2012
LPL FINANCIAL LLC
June 6, 2008 - April 4, 2011
EDWARD JONES
April 14, 2008 - April 4, 2011
EDWARD JONES
October 6, 2006 - July 13, 2007
BB&T INVESTMENT SERVICES, INC.
August 29, 2006 - July 13, 2007
BB&T INVESTMENT SERVICES, INC.
June 28, 2005 - August 11, 2006
PFIC SECURITIES CORPORATION
October 5, 2004 - January 18, 2005
SOUTHTRUST SECURITIES, LLC
August 18, 2000 - June 18, 2004
TRUIST INVESTMENT SERVICES, INC.
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
SECURIAN FINANCIAL SERVICES, INC.
CRD#: 15296 / SEC#: 801-45152, 8-31955
Contact information
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURIAN FINANCIAL GROUP, INC. | 100% SHAREHOLDER | |
| CARPENTER, KIMBERLY KAY | MEMBER OF BOARD OF DIRECTORS, CHIEF EXECUTIVE OFFICER & PRESIDENT, CHIEF COMPLIANCE OFFICER, ANTI-MONEY LAUNDERING COMPLIANCE OF | 4266541 |
| FERGUSON, KRISTIN MARY | MEMBER OF BOARD OF DIRECTORS, VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER, FINOP, & PRINCIPAL OPERATIONS OFFICER | 6895121 |
| MONTZ, RENEE DENISE | MEMBER OF BOARD OF DIRECTORS | 6014640 |
| OBRIEN, KERI SUE | SECRETARY | 6821352 |
Regulatory assets under management
| Total Number of Accounts | 76,075 |
| AUM (Assets Under Management) | $ 20,684,796,225 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
| Bond | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/30/2023 |
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.
