Dianna L Preteroti | Financial Professional

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.

Dianna L Preteroti, who also goes by Dianna Preteroti, Dianna L Slay, was a registered financial professional .

Dianna is a previously registered financial professional and started their career in finance in 2008. Dianna had worked at 3 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Dianna Preteroti | Dianna L Slay

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

February 28, 2011 - June 27, 2012

SWBC INVESTMENT COMPANY

RIA

CRD#: 140994

SAN ANTONIO, TX

Past

February 28, 2011 - June 27, 2012

SWBC INVESTMENT SERVICES, LLC

BD

CRD#: 133715

PASADENA, TX

Past

July 29, 2010 - March 9, 2011

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

HOUSTON, TX

Past

February 20, 2008 - March 9, 2011

MSI FINANCIAL SERVICES, INC.

BD

CRD#: 14251

HOUSTON, TX

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".

SI

SWBC INVESTMENT COMPANY

CRD#: 140994 / SEC#: 801-68054

RIA

Registered Investment Advisory firm - (6/25/2007 Approved)

Florida

Registered Investment Advisory firm - (12/26/2019 Terminated)

Texas

Registered Investment Advisory firm - (6/29/2007 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

RR

IAR

Series 66

Date: 7/20/2010

Uniform Combined State Law Examination

State Security Law Exam

RR

Series 63

Date: 6/3/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

Series 7

Date: 12/21/2009

General Securities Representative Examination

General Industry/Product Exam

RR

Series 6

Date: 2/19/2008

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SI

SWBC INVESTMENT COMPANY

CRD#: 140994 / SEC#: 801-68054

RIA

Registered Investment Advisory firm - (6/25/2007 Approved)

Florida

Registered Investment Advisory firm - (12/26/2019 Terminated)

Texas

Registered Investment Advisory firm - (6/29/2007 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).

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Contact information

Main Address

9311 San Pedro Avenue Suite 600, San Antonio, TX 78216-4459

Mailing Address

Phone number

(210) 376-3279

Established

Firm type

Fiscal year end

# of Employees

28

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SWBC INVESTMENT COMPANY WRAP PROGRAM (3/31/2025)

SWBC INVESTMENT COMPANY ADV SCHEDULE A PART 2 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	406
AUM (Assets Under Management)	$ 229,193,705

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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Advisor Monitoring

Firm Stability Insights

Dianna L. Preteroti

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SWBC INVESTMENT SERVICES, LLC

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

SWBC INVESTMENT COMPANY

State Registrations and Notice Filings

Exams

Series 66

Date: 7/20/2010

Series 63

Date: 6/3/2008

Series 7

Date: 12/21/2009

Series 6

Date: 2/19/2008

Current Firm

SWBC INVESTMENT COMPANY

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SWBC INVESTMENT COMPANY

TRUST BUT VERIFY

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