Diana Alean Twaddle | Financial Professional

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.

Diana Alean Twaddle, who also goes by Diana Alean Tray, Diana Tray, Diana Twaddle, was a registered financial professional .

Diana is a previously registered financial professional and started their career in finance in 2003. Diana had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Diana Alean Tray | Diana Tray | Diana Twaddle

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. 9/24/2021 - WBS Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 07/27/2021 - 160 Hours Per Month/7 Hours During Securities Trading.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

October 24, 2022 - June 29, 2023

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

Reading, PA

Past

October 24, 2022 - June 29, 2023

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD

CRD#: 39543

Reading, PA

Past

July 21, 2021 - August 25, 2022

LPL FINANCIAL LLC

RIA

CRD#: 6413

WYOMISSING, PA

Past

July 21, 2021 - August 25, 2022

LPL FINANCIAL LLC

BD

CRD#: 6413

WYOMISSING, PA

Past

August 20, 2010 - July 21, 2021

WADDELL & REED

RIA

CRD#: 866

WYOMISING, PA

Past

December 12, 2008 - July 21, 2021

WADDELL & REED

BD

CRD#: 866

WYOMISING, PA

Past

January 5, 2007 - September 29, 2008

GENEOS WEALTH MANAGEMENT, INC.

BD

CRD#: 120894

READING, PA

Past

August 16, 2006 - November 7, 2006

GENEOS WEALTH MANAGEMENT, INC.

BD

CRD#: 120894

WYOMISSING, PA

Past

August 4, 2005 - August 15, 2006

WALNUT STREET SECURITIES, INC.

BD

CRD#: 15840

WYOMISSING, PA

Past

December 15, 2004 - July 20, 2005

EQUITABLE ADVISORS, LLC

BD

CRD#: 6627

NEW YORK, NY

Past

April 9, 2003 - October 15, 2004

CETERA ADVISORS LLC

BD

CRD#: 10299

GREENWOOD VILLAGE, CO

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".

CI

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CRD#: 134139 / SEC#: 801-63930

RIA

Registered Investment Advisory firm - (2/3/2005 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

RR

IAR

Series 66

Date: 7/7/2010

Uniform Combined State Law Examination

State Security Law Exam

RR

Series 63

Date: 4/7/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 3/4/2010

General Securities Representative Examination

General Industry/Product Exam

RR

Series 6

Date: 4/7/2003

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CI

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CRD#: 134139 / SEC#: 801-63930

RIA

Registered Investment Advisory firm - (2/3/2005 Approved)

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Contact information

Main Address

1776 Pleasant Plain Rd., Fairfield, IA 52556-8757

Mailing Address

Phone number

(641) 472-5100

Established

Firm type

Fiscal year end

# of Employees

3,361

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CIRA ADV 2A (9/8/2025)

WEALTHPORT WRAP BROCHURE (9/8/2025)

Regulatory assets under management

Total Number of Accounts	438,414
AUM (Assets Under Management)	$ 102,413,096,032

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/09/2024	Cover Page	Report
04/29/2024	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Diana A. Twaddle

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

WADDELL & REED

WADDELL & REED

GENEOS WEALTH MANAGEMENT, INC.

GENEOS WEALTH MANAGEMENT, INC.

WALNUT STREET SECURITIES, INC.

EQUITABLE ADVISORS, LLC

CETERA ADVISORS LLC

Primary Firm SEC Registration

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/7/2010

Series 63

Date: 4/7/2003

SIE

Date: 10/1/2018

Series 7

Date: 3/4/2010

Series 6

Date: 4/7/2003

Current Firm

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

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