Diane M. Barnes
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 Marie Barnes, who also goes by Diane Marie Carey, Diane Marie Lindberg, was a registered financial professional .
Diane is a previously registered financial professional and started their career in finance in 2003. Diane had worked at 3 firms and has passed the Series 65, Series 63 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
March 30, 2015 - March 24, 2016
MARINER WEALTH ADVISORS
December 7, 2005 - March 30, 2015
ART INVESTMENT PARTNERS, LLC
September 23, 2003 - October 27, 2004
THRIVENT INVESTMENT MANAGEMENT INC.
State Registrations and Notice Filings
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Exams
Current Firm
MARINER WEALTH ADVISORS
CRD#: 174099 / SEC#: 801-80790
Contact information
Documents
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.
