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William L. Diener

Some features on this profile are disabled
CRD#: 67672
WD

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.

William Lewis Diener JR was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1967. William had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 15, PC, Series 1, Series 4 and Series 40 exams.

Question & Answer

Are you a "fiduciary"?
No

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

March 11, 2015 - June 10, 2019

SUMMIT FINANCIAL GROUP INC

RIA
CRD#: 109485
BOCA RATON, FL
Past

January 12, 2015 - June 10, 2019

SUMMIT BROKERAGE SERVICES, INC.

BD
CRD#: 34643
BOCA RATON, FL
Past

June 1, 2009 - January 26, 2015

MORGAN STANLEY

RIA
CRD#: 149777
BOCA RATON, FL
Past

June 1, 2009 - January 26, 2015

MORGAN STANLEY

BD
CRD#: 149777
BOCA RATON, FL
Past

July 31, 1993 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
BOCA RATON, FL
Past

July 31, 1993 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
BOCA RATON, FL
Past

November 22, 1977 - July 31, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

November 17, 1976 - November 22, 1977

SHEARSON HAYDEN STONE INC.

BD
CRD#: 7295
Past

September 2, 1975 - November 17, 1976

SHEARSON HAYDEN STONE INC.

BD
CRD#: 6774
Past

March 6, 1967 - August 30, 1975

LAMSON BROS. & CO.

BD
CRD#: 509

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

State Security Law Exam
IAR
Series 65
Date: 6/12/1992
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/21/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 15
Date: 1/15/1986
Foreign Currency Options Examination
General Industry/Product Exam
RR
PC
Date: 6/1/1977
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 1
Date: 3/5/1957
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 5/10/1989
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 40
Date: 2/22/1967
Registered Principal Examination

Current Firm

SF
SUMMIT FINANCIAL GROUP INC
SUMMIT FINANCIAL GROUP INC

CRD#: 109485 / SEC#: 801-56645

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Contact information

Main Address
595 S. Federal Highway Suite 500, Boca Raton, FL 33432-5541
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

SUMMIT FINANCIAL GROUP WRAP FEE PROGRAM BROCHURE (3/30/2021)
SUMMIT FINANCIAL GROUP FIRM BROCHURE (3/30/2021)

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

SUMMIT FINANCIAL GROUP INC

CRD#: 109485

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