Diane Otero-bell
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 Otero-bell, who also goes by Diane Otero, was a registered financial professional .
Diane is a previously registered financial professional and started their career in finance in 2018. Diane had worked at 2 firms and has passed the Series 66, 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
July 17, 2019 - January 11, 2022
FINANCIAL PARTNERS, LLC
February 21, 2018 - February 6, 2019
EDWARD JONES
January 29, 2018 - February 6, 2019
EDWARD JONES
Primary Firm SEC Registration
FINANCIAL PARTNERS, LLC
CRD#: 170002 / SEC#: 801-110092
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
FINANCIAL PARTNERS, LLC
CRD#: 170002 / SEC#: 801-110092
Contact information
SEC notice filing (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 460 |
| AUM (Assets Under Management) | $ 145,637,622 |
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.
