Diane M. Cavanaugh
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 Marie Cavanaugh was a registered financial professional .
Diane is a previously registered financial professional and started their career in finance in 2007. Diane had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 26, 2017 - October 2, 2018
MERCER GLOBAL ADVISORS INC.
October 1, 2012 - August 2, 2017
J.P. MORGAN SECURITIES LLC
October 1, 2012 - August 2, 2017
J.P. MORGAN SECURITIES LLC
October 14, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
October 11, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
September 24, 2010 - September 19, 2011
CHASE INVESTMENT SERVICES CORP.
September 24, 2010 - September 19, 2011
CHASE INVESTMENT SERVICES CORP.
October 5, 2009 - September 27, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
June 23, 2009 - September 16, 2009
LPL FINANCIAL LLC
June 19, 2009 - September 16, 2009
LPL FINANCIAL LLC
July 11, 2007 - June 5, 2009
CETERA INVESTMENT SERVICES LLC
June 7, 2007 - June 5, 2009
CETERA INVESTMENT SERVICES LLC
Primary Firm SEC Registration
MERCER GLOBAL ADVISORS INC.
CRD#: 147363 / SEC#: 801-69271
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MERCER GLOBAL ADVISORS INC.
CRD#: 147363 / SEC#: 801-69271
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 99,044 |
| AUM (Assets Under Management) | $ 60,256,270,580 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/29/2025 | ||
| 07/31/2024 | ||
| 09/28/2023 | ||
| 12/07/2022 |
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.
