Diane K. Stewart
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 Kay Stewart, who also goes by Diane Kay Batterton, was a registered financial professional .
Diane is a previously registered financial professional and started their career in finance in 2001. Diane had worked at 2 firms and has passed the Series 63, SIE 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
June 18, 2018 - May 12, 2021
FIRST NATIONAL CAPITAL MARKETS
November 16, 2001 - May 2, 2007
NELNET CAPITAL LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FIRST NATIONAL CAPITAL MARKETS
CRD#: 115920 / SEC#: 801-71101, 8-53514
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST NATIONAL INVESTMENT BANKING, INC. | DIRECT OWNER | |
| RICHTER, CHARLES HENRY | CHIEF COMPLIANCE OFFICER | 1839310 |
Disclosures
| Regulatory Event | 2 |
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.
