Diane L. Klein

PITTENGER & ANDERSON

LINCOLN, NE 68512

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CRD#: 4519237

Professional summary

Diane Lynn Klein, CFP®, who also goes by Diane Lynn Boese, is a registered financial advisor currently at PITTENGER & ANDERSON INC located in Lincoln, Nebraska.

Diane is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Diane has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Diane Lynn Boese

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.

THIRTY-ONE, NON INVESTMENT RELATED, HOME PARTY SALES OF TOTES/PURSES, SALES CONSULTANT, 08-01-2010, 8 HOURS PER MONTH, 0 HOURS DURING TRADING HOURS, PRESENT AND SELL TOTES/PURSES AT HOME PARTIES (IN THE EVENING)

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Diane Lynn Klein's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2010

Experience

Current

March 18, 2002 - Present

PITTENGER & ANDERSON INC

Office #1: 5533 S. 27th St., Suite 201, Lincoln, NE 68512

RIA

CRD#: 111033

LINCOLN, NE

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".

PITTENGER & ANDERSON INC

PITTENGER & ANDERSON INC | PITTENGER FINANCIAL INC

CRD#: 111033 / SEC#: 801-49107

RIA

Registered Investment Advisory firm - (5/3/2000 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Nebraska
(3/18/2002)

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

IAR

Series 65

Date: 6/11/2001

Uniform Investment Adviser Law Examination

Current Firm

PITTENGER & ANDERSON INC

PITTENGER & ANDERSON INC | PITTENGER FINANCIAL INC

CRD#: 111033 / SEC#: 801-49107

RIA

Registered Investment Advisory firm - (5/3/2000 Approved)

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Contact information

Main Address

5533 S. 27th Street Suite 201, Lincoln, NE 68512

Mailing Address

Phone number

(402) 328-8800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DECEMBER 2024 ADV 2A (12/23/2024)

Regulatory assets under management

Total Number of Accounts	2,126
AUM (Assets Under Management)	$ 3,311,270,399

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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Diane L. Klein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Diane Lynn Klein's CRS (Customer Relationship Summary).

Certified licenses

Experience

PITTENGER & ANDERSON INC

Primary Firm SEC Registration

PITTENGER & ANDERSON INC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/11/2001

Current Firm

PITTENGER & ANDERSON INC

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PITTENGER & ANDERSON INC

TRUST BUT VERIFY

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