Diane C. Warshay
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 Carole Warshay, who also goes by Diane Warshay, was a registered financial professional .
Diane is a previously registered financial professional and started their career in finance in 2008. Diane had worked at 4 firms and has passed the SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 27, 2018 - September 13, 2024
SUNDIAL GROUP, LLC
May 23, 2015 - July 2, 2016
BONWICK CAPITAL PARTNERS, LLC
August 3, 2012 - July 5, 2013
NEWOAK CAPITAL MARKETS LLC
May 6, 2008 - August 18, 2010
NATIONAL BANK OF CANADA FINANCIAL INC.
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
SUNDIAL GROUP, LLC
CRD#: 158367 / SEC#: , 8-68894
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MOUNTAINSIDE HOLDINGS, LLC | MANAGING MEMEBR | |
| BRITTON, WILLIAM ROBERT | PRESIDENT/ CEO/ CCO/ ELECTED MANAGER | |
| BURNS, DAVID CARROLL | PRINCIPAL/ ELECTED MANAGER | |
| JOHNSON, KRISTY KAY | FINOP/CFO | 4470948 |
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.
