Diane D. Thompson
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 Doreen Thompson, who also goes by Diane Doreen Hedger, Diane Hedger Thompson, was a registered financial professional .
Diane is a previously registered financial professional and started their career in finance in 1980. Diane had worked at 8 firms and has passed the Series 63 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
December 15, 1993 - August 12, 1994
FIRST UNION BROKERAGE SERVICES, INC.
June 3, 1986 - March 11, 1992
INVEST FINANCIAL CORPORATION
February 25, 1986 - May 15, 1986
HERITAGE FINANCIAL INVESTMENTS CORPORATION
December 24, 1985 - February 3, 1986
WINTHROP SECURITIES CO., INC.
August 26, 1985 - December 12, 1985
WINTHROP SECURITIES CO., INC.
May 12, 1982 - January 7, 1985
WALL STREET WEST, INC.
March 16, 1982 - April 20, 1982
FIRST FINANCIAL SECURITIES, INC.
October 27, 1980 - February 17, 1982
CHESLEY AND DUNN, INC.
August 20, 1980 - November 20, 1980
AMERICAN WESTERN SECURITIES, INC.
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
FIRST UNION BROKERAGE SERVICES, INC.
CRD#: 8112 / SEC#: , 8-24369
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST UNION NATIONAL BANK | STOCKHOLDER | |
| BONELLI, PAUL ANDREW | SROP | 1538780 |
| FOX, JEFFREY LAWRENCE | CHIEF FINANCIAL OFFICER | 1787925 |
| HANEY, PATRICK LEWIS | CHIEF COMPLIANCE OFFICER | 2565826 |
| HEBNER, DAVID ALLAN | SECRETARY | 2660723 |
| HUBBERT, MARK WILLIAM | CHIEF OPERATIONS OFFICER | 1802805 |
| ISABELLA, MATTHEW | CROP | 2425834 |
| LUDEMAN, DANIEL JAMES | DIRECTOR | |
| MCMULLEN, DONALD ANDREW | DIRECTOR | |
| MOODY, DWIGHT CHARLES | CEO, DIRECTOR, PRESIDENT | 1423176 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 2 |
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.
