Diana W. Louie

NECTARINE

Santa Clara, CA

CRD#: 5126097

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Professional summary

Diana Wang Louie, who also goes by Diana Wang, is a registered financial advisor currently at NECTARINE located in Santa Clara, California.

Diana is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Diana has worked at 2 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Diana Wang

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) - RIA

Click below to view Diana Wang Louie'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®

None

Experience

Current

March 2, 2026 - Present

NECTARINE

RIA

CRD#: 327155

Santa Clara, CA

Past

July 17, 2006 - December 31, 2006

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

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".

NECTARINE

NECTARINE | NECTARINE, INC. | NECTARINE FINANCIAL, INC.

CRD#: 327155 / SEC#: 801-128604

RIA

Registered Investment Advisory firm - (8/21/2023 Approved)

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.

Highlighted states indicate IAR registrations

IAR

California
(3/2/2026)

IAR

Texas
(3/2/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/10/2026

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/20/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 7/14/2006

Investment Company Products/Variable Contracts Representative Examination

Current Firm

NECTARINE

NECTARINE | NECTARINE, INC. | NECTARINE FINANCIAL, INC.

CRD#: 327155 / SEC#: 801-128604

RIA

Registered Investment Advisory firm - (8/21/2023 Approved)

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Contact information

Main Address

1650 Garnet Avenue #1090, San Diego, CA 92109

Mailing Address

Phone number

(858) 779-0115

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025-09-12 NECTARINE FORM ADV PART 2A (9/12/2025)

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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Diana W. Louie

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Diana Wang Louie's CRS (Customer Relationship Summary).

Certified licenses

Experience

NECTARINE

PFS INVESTMENTS INC.

Primary Firm SEC Registration

NECTARINE

State Registrations and Notice Filings

Exams

Series 65

Date: 2/10/2026

Series 63

Date: 7/20/2006

Series 6

Date: 7/14/2006

Current Firm

NECTARINE

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

NECTARINE

TRUST BUT VERIFY

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