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Diana B. Maciejczyk

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CRD#: 5148537
DM

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 B Maciejczyk was a registered financial professional .

Diana is a previously registered financial professional and started their career in finance in 2009. Diana had worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

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

May 5, 2010 - October 20, 2015

BMO CAPITAL MARKETS GKST INC.

BD
CRD#: 8352
CHICAGO, IL
Past

November 17, 2009 - March 19, 2010

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
CHICAGO, 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
RR
Series 63
Date: 7/13/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/20/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/16/2009
General Securities Representative Examination

Current Firm

BC
BMO CAPITAL MARKETS GKST INC.
BMO CAPITAL MARKETS GKST INC. | GRIFFIN, KUBIK, STEPHENS & THOMPSON, INC.

CRD#: 8352 / SEC#: , 8-25091

BD
Terminated by SEC on 01/03/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 07/16/1980
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PIPER JAFFRAY & CO.100% SHAREHOLDER665
CARTER, TIMOTHY LEEDIRECTOR AND TREASURER2676342
MCCAGUE, ANNCHARLOTTEDIRECTOR AND CHIEF COMPLIANCE OFFICER

Disclosures

Regulatory Event5

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

BMO CAPITAL MARKETS GKST INC.

CRD#: 8352

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