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DL

Diana W. Louie

NECTARINE
Santa Clara, CA
Some features on this profile are disabled
CRD#: 5126097
DL

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.

BD
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".
NE
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)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/10/2026
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/20/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 7/14/2006
Investment Company Products/Variable Contracts Representative Examination

Current Firm

NE
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
30

SEC notice filing (51 States and Territories)

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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.

Company Information

NECTARINE

CRD#: 327155Santa Clara, CA

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