DT
Diana S. Thomason
INTERCAROLINA FINANCIAL SERVICES
MURRAY, KY 42071
Some features on this profile are disabled
CRD#: 5072576
DT
Professional summary
Diana Sue Thomason, who also goes by Diana Johnson Dassing, Diana Sue Johnson, is a registered financial advisor currently at INTERCAROLINA FINANCIAL SERVICES, INC. located in Murray, Kentucky.
Diana is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Diana has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Diana Johnson Dassing | Diana Sue Johnson
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.
1. 12/17/2007- DBA, FIXED INSURANCE- 2% TIME SPENT- MURRAY, KY
2. 12/17/2007- HOST THE 1340 AM WNBS BREAKFAST SHOW- 1% TIME SPENT- MURRAY, KY
3. 2009- PRESENT RACER RENTALS LLC 34 HORNER RICE LN.MURRY KY. NON INVESTMENT RELATED OWNED WITH ROBERT THOMASON 0 TIME SPENT -
4. OWN COMMERCIAL PROPERTY AT 4238 US 68E. BENTON, KY 42025 NON INVESTMENT RELATED 0 TIME SPENT, COMMERCIAL LEASE.NON INVESTMENT RELATED SALES ASSOCIATE AMS HEALTH SCIENCES, VITAMIN SUPPLEMENTS 0 HOURS DURING REGULAR BUSINESS HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Diana Sue Thomason's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Diana Sue Thomason's 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®
NoneExperience
Current
October 4, 2010 - Present
INTERCAROLINA FINANCIAL SERVICES, INC.
Office #1: 300 Maple St Suite 4, Murray, KY 42071RIA
BD
CRD#: 19475
MURRAY, KY
Current
April 14, 2010 - Present
INTERCAROLINA FINANCIAL SERVICES, INC.
Office #1: 3300 Battleground Avenue Suite 202, Greensboro, NC 27410-2447RIA
BD
CRD#: 19475
Greensboro, NC
Past
December 17, 2007 - April 16, 2010
LPL FINANCIAL LLC
RIA
CRD#: 6413
MURRAY, KY
Past
December 17, 2007 - April 16, 2010
LPL FINANCIAL LLC
BD
CRD#: 6413
MURRAY, KY
Past
January 25, 2006 - December 19, 2007
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
MURRAY, KY
Past
January 1, 2006 - December 19, 2007
SECURITIES AMERICA, INC.
BD
CRD#: 10205
PADUCAH, KY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
IF
INTERCAROLINA FINANCIAL SERVICES, INC.
INTERCAROLINA FINANCIAL | INTERCAROLINA FINANCIAL SERVICES, INC. | INTERCAROLINA FINANCIAL SERVICES
CRD#: 19475 / SEC#: 801-121339, 8-37519
RIA
Registered Investment Advisory firm - SEC (5/28/2021 Approved)California
Registered Investment Advisory firm - SEC (8/12/2021 Terminated)Florida
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)Georgia
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)Kentucky
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)Minnesota
Registered Investment Advisory firm - SEC (8/11/2021 Terminated)Nevada
Registered Investment Advisory firm - SEC (8/13/2021 Terminated)New Jersey
Registered Investment Advisory firm - SEC (5/25/2016 Terminated)North Carolina
Registered Investment Advisory firm - SEC (8/5/2021 Terminated)North Dakota
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (12/15/2016 Terminated)South Carolina
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)South Dakota
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)Texas
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)Virginia
Registered Investment Advisory firm - SEC (11/19/2009 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
RR
Arizona(5/6/2021)
RR
Kentucky(4/14/2010)
IAR
Kentucky(10/4/2010)
RR
Ohio(7/22/2010)
RR
Tennessee(3/1/2013)
RR
Virginia(2/26/2021)
RR
Wisconsin(3/10/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
IF
INTERCAROLINA FINANCIAL SERVICES, INC.
INTERCAROLINA FINANCIAL | INTERCAROLINA FINANCIAL SERVICES, INC. | INTERCAROLINA FINANCIAL SERVICES
CRD#: 19475 / SEC#: 801-121339, 8-37519
RIA
Registered Investment Advisory firm - SEC (5/28/2021 Approved)California
Registered Investment Advisory firm - SEC (8/12/2021 Terminated)Florida
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)Georgia
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)Kentucky
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)Minnesota
Registered Investment Advisory firm - SEC (8/11/2021 Terminated)Nevada
Registered Investment Advisory firm - SEC (8/13/2021 Terminated)New Jersey
Registered Investment Advisory firm - SEC (5/25/2016 Terminated)North Carolina
Registered Investment Advisory firm - SEC (8/5/2021 Terminated)North Dakota
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (12/15/2016 Terminated)South Carolina
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)South Dakota
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)Texas
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)Virginia
Registered Investment Advisory firm - SEC (11/19/2009 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
3300 Battleground Avenue Suite 202 Suite 202, Greensboro, NC 27410
Mailing Address
3300 Battleground Avenue Suite 202, Greensboro, NC 27410-2447
Phone number
(336) 288-6890
Established
North Carolina since 09/17/1986
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
14
SEC notice filing (12 States and Territories)
FINRA licenses (21 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 381 |
| AUM (Assets Under Management) | $ 130,750,464 |
Disclosures
| Regulatory Event | 2 |
| 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.
