Diane H. Ferris

FRANKLIN DISTRIBUTORS

Boston, MA 02110

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CRD#: 4883613

Professional summary

Diane Helena Ferris, AIF®, who also goes by Diane Helena Rzepecki, Diane Rzepecki, is a registered financial professional currently at FRANKLIN DISTRIBUTORS, LLC located in Boston, Massachusetts.

Diane is registered as a RR (Registered Representative) and started their career in finance in 2005. Diane has worked at 9 firms and has passed the Series 66, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Diane Helena Rzepecki | Diane Rzepecki

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Diane Helena Ferris'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

July 7, 2021 - Present

FRANKLIN DISTRIBUTORS, LLC

Office #1: 100 Federal Street, Boston, MA 02110

CRD#: 109064

Boston, MA

Past

June 27, 2018 - November 16, 2021

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.

CRD#: 13594

SAN MATEO, CA

Past

June 26, 2018 - July 7, 2021

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

CRD#: 332

SAN MATEO, CA

Past

May 1, 2010 - June 4, 2018

COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC

RIA

CRD#: 108257

BOSTON, MA

Past

May 1, 2010 - June 4, 2018

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

CRD#: 840

BOSTON, MA

Past

December 12, 2006 - May 1, 2010

BOFA ADVISORS, LLC

RIA

CRD#: 107900

BOSTON, MA

Past

December 6, 2006 - May 1, 2010

BOFA DISTRIBUTORS, INC.

CRD#: 30683

BOSTON, MA

Past

March 27, 2006 - December 6, 2006

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

BOSTON, MA

Past

March 17, 2006 - December 6, 2006

MORGAN STANLEY & CO. LLC

CRD#: 8209

BOSTON, MA

Past

March 16, 2005 - March 17, 2006

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(7/7/2021)

Alaska
(7/7/2021)

Arizona
(7/7/2021)

Arkansas
(7/7/2021)

California
(7/7/2021)

Colorado
(7/7/2021)

Connecticut
(7/7/2021)

Delaware
(7/7/2021)

District of Columbia
(7/7/2021)

Florida
(7/7/2021)

Georgia
(7/7/2021)

Hawaii
(7/7/2021)

Idaho
(7/7/2021)

Illinois
(7/7/2021)

Indiana
(7/7/2021)

Iowa
(7/7/2021)

Kansas
(7/7/2021)

Kentucky
(7/7/2021)

Louisiana
(7/7/2021)

Maine
(7/7/2021)

Maryland
(7/7/2021)

Massachusetts
(7/7/2021)

Michigan
(7/7/2021)

Minnesota
(7/7/2021)

Mississippi
(7/7/2021)

Missouri
(7/7/2021)

Montana
(7/7/2021)

Nebraska
(7/7/2021)

Nevada
(7/7/2021)

New Hampshire
(7/7/2021)

New Jersey
(7/7/2021)

New Mexico
(7/7/2021)

New York
(7/7/2021)

North Carolina
(7/7/2021)

North Dakota
(7/7/2021)

Ohio
(7/7/2021)

Oklahoma
(7/7/2021)

Oregon
(7/7/2021)

Pennsylvania
(7/7/2021)

Puerto Rico
(7/7/2021)

Rhode Island
(7/7/2021)

South Carolina
(7/7/2021)

South Dakota
(7/7/2021)

Tennessee
(7/7/2021)

Texas
(7/7/2021)

Utah
(7/7/2021)

Vermont
(7/7/2021)

Virgin Islands
(7/7/2021)

Virginia
(7/7/2021)

Washington
(7/7/2021)

West Virginia
(7/7/2021)

Wisconsin
(7/7/2021)

Wyoming
(7/7/2021)

Exams

State Security Law Exam

IAR

Series 66

Date: 5/9/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 10/22/2015

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 3/15/2005

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

FRANKLIN DISTRIBUTORS, LLC

FRANKLIN DISTRIBUTORS, LLC | UNIFIED DISTRIBUTORS LLC | LEGG MASON INVESTORS SERVICES, LLC | LEGG MASON INVESTOR SERVICES, LLC | LATINVALLEY SECURITIES LLC

CRD#: 109064 / SEC#: , 8-53089

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

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Contact information

Main Address

One Franklin Parkway, San Mateo, CA 94403

Mailing Address

1201 Wills Street, Baltimore, MD 21231

Phone number

(800) 632-2350

Established

Delaware since 12/01/2000

Firm type

Limited Liability Company

Fiscal year end

September

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
TEMPLETON WORLDWIDE, INC.	SHAREHOLDER
CIEPRISZ, KENNETH DAVID	CHIEF COMPLIANCE OFFICER	2303713
GAMBA, DANIEL ERNESTO	CHIEF EXECUTIVE OFFICER	4594704
MASOM, JEFFREY SCOTT	PRESIDENT-DIRECTOR	2870966
PATERSON, DAVID	CHIEF FINANCIAL OFFICER AND DESIGNATED FINANCIAL PRINCIPAL	7001546

Disclosures

Regulatory Event

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

Diane H. Ferris

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Diane Helena Ferris's CRS (Customer Relationship Summary).

Certified licenses

Experience

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

BOFA ADVISORS, LLC

BOFA DISTRIBUTORS, INC.

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 5/9/2005

SIE

Date: 10/1/2018

Series 3

Date: 10/22/2015

Series 7

Date: 3/15/2005

FINRA

Current Firm

FRANKLIN DISTRIBUTORS, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FRANKLIN DISTRIBUTORS, LLC

TRUST BUT VERIFY

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