Diane S. Sands
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 S Sands, who also goes by Diane Dyckman, Diane Shain, was a registered financial professional .
Diane is a previously registered financial professional and started their career in finance in 1970. Diane had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 13, 2011 - February 29, 2016
ICD SECURITIES INC.
June 30, 2006 - June 15, 2011
INDEPENDENT FINANCIAL GROUP, LLC
December 31, 1997 - July 3, 2006
LPL FINANCIAL LLC
May 12, 1988 - July 3, 2006
LPL FINANCIAL LLC
November 21, 1986 - May 19, 1988
PROFESSIONAL ASSET SECURITIES, INC.
September 6, 1979 - August 18, 1981
L. WELLER & CO.
March 19, 1979 - September 27, 1979
LOEB PARTNERS
September 27, 1978 - January 4, 1979
BIRR, WILSON & CO., INC.
January 1, 1975 - February 29, 1980
WILLIAM O'NEIL SECURITIES
March 2, 1970 - November 25, 1974
SUTRO & CO. INCORPORATED
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
Series 1
Date: 6/26/1967
Registered Representative ExaminationCurrent Firm
ICD SECURITIES INC.
CRD#: 134910 / SEC#: , 8-66870
Contact information
FINRA licenses (22 States and Territories)
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.
