Diane C. Jakubowski
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 Clare Jakubowski, CFP®, who also goes by Diane C Jakubowski, was a registered financial professional .
Diane is a previously registered financial professional and started their career in finance in 1981. Diane had worked at 8 firms and has passed the Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 5, 2019 - November 22, 2022
EP WEALTH ADVISORS
July 22, 2019 - November 11, 2019
CPIC INTERNATIONAL
August 25, 1989 - June 4, 1991
FIRST AFFILIATED SECURITIES
January 27, 1988 - August 25, 1989
PFG SECURITIES, INC.
October 4, 1985 - January 14, 1988
FPI SECURITIES, INC.
May 8, 1985 - October 14, 1985
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
June 10, 1983 - March 12, 1985
CYPRES, ROSS AND ASSOCIATES, INC.
June 23, 1981 - May 10, 1982
SYMON GROUP, LTD.
Primary Firm SEC Registration
EP WEALTH ADVISORS
CRD#: 111147 / SEC#: 801-29358
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
EP WEALTH ADVISORS
CRD#: 111147 / SEC#: 801-29358
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 49,167 |
| AUM (Assets Under Management) | $ 35,570,000,000 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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