Diana N. Harris
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.
Diana Nicuta Harris, who also goes by Diana Nicuta, was a registered financial professional .
Diana is a previously registered financial professional and started their career in finance in 2022. Diana had worked at 2 firms and has passed the Series 63, Series 6TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2022 - March 14, 2025
CREDIT UNION INVESTMENT SERVICES
June 30, 2022 - March 14, 2025
SECU BROKERAGE SERVICES
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 6TO
Date: 6/30/2022
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
CREDIT UNION INVESTMENT SERVICES
CRD#: 144871 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 110,960 |
Red Flags
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