AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
DC

Diane M. Connor

SENDERO SECURITIES
San Antonio, TX 78209
Some features on this profile are disabled
CRD#: 6196336
DC

Professional summary

Diane Marie Connor, who also goes by Diane M Connor, Diane Marie Mundahl, is a registered financial professional currently at SENDERO SECURITIES, LLC located in San Antonio, Texas.

Diane is registered as a RR (Registered Representative) and started their career in finance in 2017. Diane has worked at 1 firm and has passed the SIE and Series 99 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Diane M Connor | Diane Marie Mundahl

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) - BD

Click below to view Diane Marie Connor's CRS (Customer Relationship Summary).
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 30, 2017 - Present

SENDERO SECURITIES, LLC

Office #1: 250 W Nottingham Suite 300, San Antonio, TX 78209
BD
CRD#: 146627
San Antonio, TX

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.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 10/29/2017
Operations Professional Examination
SRO Registrations
RR
FINRA

Current Firm

SS
SENDERO SECURITIES, LLC
SENDERO SECURITIES, LLC

CRD#: 146627 / SEC#: , 8-67834

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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 Nottingham Suite 300, San Antonio, TX 78209
Mailing Address
250 W Nottingham Suite 300, San Antonio, TX 78209
Phone number
(210) 805-0171
Established
Texas since 05/17/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SENDERO PARTNERS, LLCSOLE MEMBER
DARCHICOURT, LORI KAYECFO/FINOP6923033
GERRON, JULIE KCHIEF COMPLIANCE OFFICER4525156
MAXWELL, TARA DANETTEVICE PRESIDENT, PARTNER, SROP/ CROP3008045
WATSON, GEORGE HARRYDESIGNATED PRINCIPAL/PRESIDENT4771298

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.

Company Information

SENDERO SECURITIES, LLC

CRD#: 146627San Antonio, TX 78209

TRUST BUT VERIFY

Monitor Diane Connor

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

CH
Christopher HallAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
San Antonio, TX
RA
Robert ArmendarizAdvisorCheck Check Mark
EAGLE STRATEGIES LLC
IAR
RR
SAN ANTONIO, TX
JO
Joe-ben O'banionAdvisorCheck Check Mark
TITLEIST ASSET MANAGEMENT, LLC
IAR
RR
SAN ANTONIO, TX
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.