DB

Diane L. Billing

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CRD#: 4963628
DB

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 Louise Billing, who also goes by Diane L Cooper, Diane L Stock, was a registered financial professional .

Diane is a previously registered financial professional and started their career in finance in 2014. Diane had worked at 2 firms and has passed the Series 65, Series 34, Series 3, Series 7 and Series 30 exams.

Question & Answer


Are you a "fiduciary"?
No

Aliases


Diane L Cooper | Diane L Stock

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.

CRS (Client Relationship Summary)


The CRS(Customer Relationship Summary) document is not provided.

Certified licenses


Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience


Past

April 24, 2015 - November 20, 2017

HAYDEN ROYAL

RIA
CRD#: 170037
CHARLOTTE, NC
Past

June 10, 2014 - April 7, 2015

VISION INVESTMENT ADVISORS, LLC

RIA
CRD#: 109621
CARY, IL

State Registrations and Notice Filings


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

Visual representation of state registrations

This advisor is not registered in any state.

Exams


State Security Law Exam
IAR
Series 65
Date: 10/14/2013
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 34
Date: 11/21/2011
Retail Off-Exchange FOREX Examination
General Industry/Product Exam
RR
Series 3
Date: 11/13/2009
National Commodity Futures Examination
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 30
Date: 10/20/2015
NFA Branch Manager Examination

Current Firm


HR
HAYDEN ROYAL
3G WEALTH MANAGEMENT | WHITE OAK WEALTH MANAGEMENT | WEALTHPOINT INVESTMENT ADVISORS | TOWN SQUARE CONSULTING | TICE MCNINCH WEALTH MGMT | TAYLOR WEALTH MANAGEMENT | SUTTER WEALTH MANAGEMENT | SHORELINE PARTNERS WEALTH MANAGEMENT, LLC | RED OAK CAPITAL MANAGEMENT | PRICE WEALTH MANAGEMENT | POINT CAPITAL MANAGEMENT | PIEDMONT WEALTH ADVISORS | OLIVER WEALTH MANAGEMENT | NORTHERN VIRGINIA WEALTH MANAGEMENT | NOBLEBRIDGE WEALTH PARTNERS | LIFE TRANSITIONS PLANNING LLC | LANGLEY WEALTH MANAGEMENT | JOHN A. HAND III WEALTH ADVISORS | JHG FINANCIAL ADVISORS, LLC | HILTON HEAD CAPITAL PARTNERS | HAYDEN ROYAL, LLC | HAYDEN ROYAL | GREAT LAKES WEALTH MANAGEMENT AND ADVISORY PARTNERS, INC. | GREAT LAKES & ATLANTIC WEALTH MANAGEMENT AND ADVISORY PARTNERS | GLENWOOD FINANCIAL PARTNERS | GENERATIONS WEALTH PLANNING | GAUTHIER WEALTH MANAGEMENT | FIRST WEALTH ADVISORY, INC. | FIRST WEALTH ADVISORY | FIRST WEALTH ADVISORS | FIRST OAK WEALTH ADVISORY | EVERGLADES PARKLAND ADVISORS | EAGLEVIEW WEALTH | CHRONOS WEALTH MANAGEMENT | CHRIS BELCHAMBER INVESTMENT MANAGEMENT, LLC | CHAPMAN CAPITAL ADVISORS | CB INVESTMENT MANAGEMENT | CAROLINA PLANNING | CARDINAL WEALTH PARTNERS | CAPITAL CITY FINANCIAL PARTNERS | BRITTISON FINANCIAL GROUP | BRIDGEWAY WEALTH PARTNERS | ARIES CAPITAL MANAGEMENT | ANTHONY CAPITAL MANAGEMENT

CRD#: 170037 / SEC#: 801-101516

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Contact information


Main Address
2813 Coltsgate Rd. Suite 200, Charlotte, NC 28211
Mailing Address
Phone number
(704) 919-0439
Established
Firm type
Fiscal year end
# of Employees
21

Regulatory assets under management


Total Number of Accounts3,248
AUM (Assets Under Management)$ 596,602,721

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.

Company Information


HAYDEN ROYAL

CRD#: 170037

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