Diane H. Gropper
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 Hal Gropper, who also goes by Diane Skye Gropper, Skye Gropper, was a registered financial professional .
Diane is a previously registered financial professional and started their career in finance in 2013. Diane had worked at 4 firms and has passed the Series 65, Series 63, 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
April 13, 2018 - November 27, 2018
BANKERS LIFE ADVISORY SERVICES, INC.
April 10, 2018 - November 27, 2018
BANKERS LIFE SECURITIES, INC.
September 25, 2015 - December 31, 2017
WADDELL & REED
December 23, 2013 - December 31, 2017
WADDELL & REED
January 1, 2013 - December 11, 2013
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
Primary Firm SEC Registration
BANKERS LIFE ADVISORY SERVICES, INC.
CRD#: 281285 / SEC#: 801-106953
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
BANKERS LIFE ADVISORY SERVICES, INC.
CRD#: 281285 / SEC#: 801-106953
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 14,938 |
| AUM (Assets Under Management) | $ 1,943,847,697 |
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.
