DH
Diana L. Harrison
FINANCIAL INVESTMENT TEAM ("FIT")
Portland, OR 97224
Some features on this profile are disabled
CRD#: 4333412
DH
Professional summary
Diana Lj Harrison, CFP®, who also goes by Diana L Harrison, Diana Lee Jensen, is a registered financial advisor currently at FINANCIAL INVESTMENT TEAM ("FIT") located in Portland, Oregon and PEAK BROKERAGE SERVICES, LLC located in Portland, Oregon.
Diana is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Diana has worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Diana L Harrison | Diana Lee Jensen
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.
1) Name of Business: Financial Investment Team, Inc. Investment Related: Yes Principal Office Address: 15350 SW Sequoia Parkway, Suite 150, Portland, OR 97224 Business Nature: Independent Registered Investment Advisor Position: Owner/Investment Advisor Representative Start Date: 6/2005 Approximate Number of Hours/Month Devoted to this Business: 200 Approximate Number of Hours/Month Devoted to this Business During Trading Hours: 160 Duties: Investment advisory and planning services, Manage the firm, Board of Directors 2) Name of Business: Plus Tax, Inc. (fka Diana LJ Harrison CPA, Inc.) Investment Related: No Principal Office Address: 15350 SW Sequoia Parkway, Suite 150, Portland, OR 97224 Business Nature: Tax Planning and Preparation Services Position: Owner/CPA Start Date: 9/2018 Approximate Number of Hours/Month Devoted to this Business (outside of tax season): 15 Approximate Number of Hours/Month Devoted to this Business During Trading Hours (outside of tax season): 15 Approximate Number of Hours/Month Devoted to this Business (during tax season, Feb. 1 through April 17): 80 Approximate Number of Hours/Month Devoted to this Business During Trading Hours (during tax season, Feb. 1 through April 17): 20 Duties: Tax Planning and Preparation, Board of Directors 3) Business entity: Thunder Paws Farm, LLC; Business Activity: Hourly rental of dog training area; Address: Washington; Duties of Position: Collect rent; Title: Member; Approx. # of hours per month spent on activity: 1; Approx. # of hours spent during trading hours: 0
CRS (Client Relationship Summary) - RIA
Click below to view Diana Lj Harrison'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®
Experience
Current
January 28, 2009 - Present
FINANCIAL INVESTMENT TEAM ("FIT")
Office #1: 15350 Sw Sequoia Pkwy Suite 150, Portland, OR 97224RIA
CRD#: 145724
Portland, OR
Current
June 20, 2016 - Present
PEAK BROKERAGE SERVICES, LLC
Office #1: 15350 Sw Sequoia Parkway 150, Portland, OR 97224BD
CRD#: 157045
Portland, OR
Past
January 25, 2002 - June 24, 2016
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
PORTLAND, OR
Past
February 2, 2001 - December 5, 2001
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
FI
FINANCIAL INVESTMENT TEAM ("FIT")
FINANCIAL INVESTMENT TEAM ("FIT") | HARRISON & ASSOCIATES WEALTH MANAGEMENT SERVICES, INC. | FINANCIAL INVESTMENT TEAM, INC.
CRD#: 145724 / SEC#: 801-114111
RIA
Registered Investment Advisory firm - (10/12/2018 Approved)California
Registered Investment Advisory firm - (11/15/2018 Terminated)Colorado
Registered Investment Advisory firm - (10/26/2018 Terminated)Louisiana
Registered Investment Advisory firm - (1/3/2017 Terminated)Oregon
Registered Investment Advisory firm - (10/23/2018 Terminated)Texas
Registered Investment Advisory firm - (10/23/2018 Terminated)Washington
Registered Investment Advisory firm - (10/30/2018 Terminated)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(7/25/2016)
RR
California(6/20/2016)
RR
Colorado(6/20/2016)
RR
Maryland(6/20/2016)
RR
Massachusetts(3/5/2020)
IAR
Oregon(1/28/2009)
RR
Oregon(6/20/2016)
IAR
Texas(3/31/2012)
RR
Washington(6/20/2016)
IAR
Washington(10/11/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FI
FINANCIAL INVESTMENT TEAM ("FIT")
FINANCIAL INVESTMENT TEAM ("FIT") | HARRISON & ASSOCIATES WEALTH MANAGEMENT SERVICES, INC. | FINANCIAL INVESTMENT TEAM, INC.
CRD#: 145724 / SEC#: 801-114111
RIA
Registered Investment Advisory firm - (10/12/2018 Approved)California
Registered Investment Advisory firm - (11/15/2018 Terminated)Colorado
Registered Investment Advisory firm - (10/26/2018 Terminated)Louisiana
Registered Investment Advisory firm - (1/3/2017 Terminated)Oregon
Registered Investment Advisory firm - (10/23/2018 Terminated)Texas
Registered Investment Advisory firm - (10/23/2018 Terminated)Washington
Registered Investment Advisory firm - (10/30/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
15350 Sw Sequoia Pkwy Suite 150, Portland, OR 97224
Mailing Address
Phone number
(503) 906-5205
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 855 |
| AUM (Assets Under Management) | $ 186,401,476 |
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.
