Dianne B. Armer
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 Brown Armer, who also goes by Dianne Brown, was a registered financial professional .
Dianne is a previously registered financial professional and started their career in finance in 2001. Dianne had worked at 5 firms and has passed the Series 66, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 11, 2013 - February 26, 2014
SHIRA RIDGE WEALTH MANAGEMENT
July 28, 2004 - December 31, 2013
LPL FINANCIAL LLC
July 28, 2004 - December 31, 2013
LPL FINANCIAL LLC
December 10, 2003 - August 2, 2004
EPLANNING SECURITIES, INC.
December 5, 2003 - August 2, 2004
EPLANNING ADVISORS INC
February 12, 2001 - January 14, 2003
ASSOCIATED SECURITIES CORP.
Primary Firm SEC Registration
SHIRA RIDGE WEALTH MANAGEMENT
CRD#: 117627 / SEC#: 801-112766
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
SHIRA RIDGE WEALTH MANAGEMENT
CRD#: 117627 / SEC#: 801-112766
Contact information
SEC notice filing (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 829 |
| AUM (Assets Under Management) | $ 323,442,194 |
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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