Diana B. Murray

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CRD#: 5450774

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 Bratcher Murray was a registered financial professional .

Diana is a previously registered financial professional and started their career in finance in 2008. Diana had worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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

April 28, 2009 - November 12, 2019

FINANCIAL MANAGEMENT ADVISORS, INC.

RIA

CRD#: 117442

TULLAHOMA, TN

Past

March 26, 2008 - November 30, 2018

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

TULLAHOMA, TN

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".

FINANCIAL MANAGEMENT ADVISORS, INC.

CRD#: 117442 / SEC#: 801-122762

RIA

Registered Investment Advisory firm - (11/29/2021 Approved)

Louisiana

Registered Investment Advisory firm - (11/2/2020 Terminated)

Tennessee

Registered Investment Advisory firm - (3/30/2022 Terminated)

Virginia

Registered Investment Advisory firm - (12/24/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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 66

Date: 3/25/2009

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/25/2008

General Securities Representative Examination

Current Firm

FINANCIAL MANAGEMENT ADVISORS, INC.

CRD#: 117442 / SEC#: 801-122762

RIA

Registered Investment Advisory firm - (11/29/2021 Approved)

Louisiana

Registered Investment Advisory firm - (11/2/2020 Terminated)

Tennessee

Registered Investment Advisory firm - (3/30/2022 Terminated)

Virginia

Registered Investment Advisory firm - (12/24/2017 Terminated)

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Contact information

Main Address

115 N. Jackson Street, Tullahoma, TN 37388

Mailing Address

Po Box 1914, Tullahoma, TN 37388

Phone number

(931) 455-0151

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FMA ADV PART 2 3/24/2020 (3/25/2025)

Regulatory assets under management

Total Number of Accounts	591
AUM (Assets Under Management)	$ 132,700,000

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 B. Murray

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FINANCIAL MANAGEMENT ADVISORS, INC.

SECURITIES SERVICE NETWORK, LLC

Primary Firm SEC Registration

FINANCIAL MANAGEMENT ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/25/2009

SIE

Date: 10/1/2018

Series 7

Date: 3/25/2008

Current Firm

FINANCIAL MANAGEMENT ADVISORS, INC.

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FINANCIAL MANAGEMENT ADVISORS, INC.

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