Diana S. Owusu
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 Stanley Owusu, who also goes by Diana Stanley Owusu, Diana Ama Owusu-acheampong, Diana Stanley Owusu-acheampong, Diana Ama Stanley Owusu, Diana Stanley Owusu, Diana Stanley-owusu, was a registered financial professional .
Diana is a previously registered financial professional and started their career in finance in 2005. Diana had worked at 16 firms and has passed the Series 66, Series 63, Series 6TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2023 - December 5, 2023
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
June 8, 2023 - December 5, 2023
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
October 14, 2021 - November 23, 2022
CETERA INVESTMENT SERVICES LLC
October 7, 2021 - November 23, 2022
CETERA INVESTMENT ADVISERS LLC
June 5, 2019 - May 15, 2020
B. RILEY WEALTH ADVISORS, INC.
April 1, 2019 - May 15, 2020
NATIONAL SECURITIES CORPORATION
February 27, 2019 - March 28, 2019
CHARLES SCHWAB & CO., INC.
June 26, 2015 - February 7, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 13, 2015 - February 7, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 8, 2012 - April 22, 2015
NATIONAL FINANCIAL SERVICES LLC
May 1, 2010 - December 15, 2010
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
May 1, 2010 - December 15, 2010
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
December 10, 2009 - May 1, 2010
BOFA ADVISORS, LLC
December 10, 2009 - May 1, 2010
BOFA DISTRIBUTORS, INC.
March 6, 2009 - November 20, 2009
SECURIAN FINANCIAL SERVICES, INC.
February 26, 2008 - June 2, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 23, 2007 - December 20, 2007
CITIGROUP GLOBAL MARKETS INC.
May 16, 2005 - March 28, 2007
CITICORP INVESTMENT SERVICES
Primary Firm SEC Registration
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
CRD#: 2881 / SEC#: 801-8095, 8-14088
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
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
CRD#: 2881 / SEC#: 801-8095, 8-14088
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE NORTHWESTERN MUTUAL LIFE INSURANCE COMPANY | SOLE MEMBER | |
| ALBERS, BRETT BERNARD | TREASURER / FINANCIAL AND OPERATIONS PRINCIPAL | 6669890 |
| DOLL, QUENTIN MICHAEL | VICE PRESIDENT - RISK PRODUCTS | 6776231 |
| EULL, BRADLEY LEAHY | SECRETARY | 2969269 |
| KALINOWSKI, DAWN MARIE | VICE PRESIDENT - CHIEF OPERATIONS OFFICER | 2770565 |
| LUND, NICOLE ELLEN | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4646907 |
| SCHULTZ, DEBORAH ALLISON | VICE PRESIDENT AND CHIEF RISK OFFICER | 7440134 |
| TOMCZAK, BONNIE LYNN | VICE PRESIDENT - WEALTH | 2966038 |
| VALTERS, LAILA M | PRESIDENT AND CEO | 3010005 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 1 |
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.
