Diana L. Covell

DEAN DORTON WEALTH MANAGEMENT

Lexington, KY 40507

Some features on this profile are disabled

CRD#: 6140550

Professional summary

Diana Lynn Covell is a registered financial advisor currently at DEAN DORTON WEALTH MANAGEMENT, LLC located in Lexington, Kentucky.

Diana is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Diana has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Covell Cattle, Family farm-Part owner-80 hrs/mo-not investment related

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Diana Lynn Covell's CRS (Customer Relationship Summary).

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

Current

October 6, 2023 - Present

DEAN DORTON WEALTH MANAGEMENT, LLC

Office #1: 250 W. Main Street Suite 1400, Lexington, KY 40507

RIA

CRD#: 297616

Lexington, KY

Past

July 23, 2018 - August 4, 2023

CREATIVE FINANCIAL DESIGNS, INC.

RIA

CRD#: 109032

KOKOMO, IN

Past

July 23, 2018 - August 4, 2023

CFD INVESTMENTS, INC.

CRD#: 25427

KOKOMO, IN

Past

December 27, 2016 - June 14, 2018

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

Harrodsburg, KY

Past

December 27, 2016 - June 14, 2018

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

Harrodsburg, KY

Past

July 5, 2016 - September 14, 2016

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

POTOMAC, MD

Past

July 5, 2016 - September 14, 2016

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

POTOMAC, MD

Past

January 23, 2013 - July 15, 2016

MORGAN STANLEY

RIA

CRD#: 149777

ROCKVILLE, MD

Past

January 1, 2013 - July 15, 2016

MORGAN STANLEY

CRD#: 149777

ROCKVILLE, MD

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Indiana
(10/1/2024)

IAR

Kentucky
(10/6/2023)

IAR

North Carolina
(8/30/2024)

IAR

Ohio
(8/30/2024)

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: 1/22/2013

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: 12/27/2012

General Securities Representative Examination

Current Firm

DEAN DORTON WEALTH MANAGEMENT, LLC

DEAN DORTON PRIVATE WEALTH | DEAN DORTON WEALTH MANAGEMENT, LLC

CRD#: 297616 / SEC#:

Indiana

Registered Investment Advisory firm - (10/1/2024 Approved)

Kentucky

Registered Investment Advisory firm - (8/23/2018 Approved)

North Carolina

Registered Investment Advisory firm - (8/29/2024 Approved)

Ohio

Registered Investment Advisory firm - (8/28/2024 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

250 W. Main Street Suite 1400, Lexington, KY 40507

Mailing Address

Phone number

(859) 425-7780

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	82
AUM (Assets Under Management)	$ 42,618,891

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.

Similar Advisors

Ginger Ford

RAYMOND JAMES FINANCIAL SERVICES, INC.

Lexington, KY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Diana L. Covell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Diana Lynn Covell's CRS (Customer Relationship Summary).

Certified licenses

Experience

CREATIVE FINANCIAL DESIGNS, INC.

CFD INVESTMENTS, INC.

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

MORGAN STANLEY

MORGAN STANLEY

State Registrations and Notice Filings

Exams

Series 66

Date: 1/22/2013

SIE

Date: 10/1/2018

Series 7

Date: 12/27/2012

Current Firm

DEAN DORTON WEALTH MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

DEAN DORTON WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors