Diane L. Spencer

EGI FINANCIAL

AKRON, OH 44308

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CRD#: 814429

Professional summary

Diane Lynn Spencer, who also goes by Diane Lynn Berry, Diane Spencer Berry, is a registered financial advisor currently at EGI FINANCIAL, INC. located in Akron, Ohio and AMERICAN HERITAGE SECURITIES, INC. located in Akron, Ohio.

Diane is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1975. Diane has worked at 7 firms and has passed the Series 63, SIE, PC and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Diane Lynn Berry | Diane Spencer Berry

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Diane Lynn Spencer's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 8, 2021 - Present

EGI FINANCIAL, INC.

Office #1: 50 S Main St Suite 1210, Akron, OH 44308

RIA

CRD#: 120607

AKRON, OH

Current

January 8, 2018 - Present

AMERICAN HERITAGE SECURITIES, INC.

Office #1: 50 S Main St Suite 1210, Akron, OH 44308

CRD#: 29678

Akron, OH

Past

March 10, 2009 - January 25, 2018

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA

CRD#: 793

FAIRLAWN, OH

Past

March 10, 2009 - January 25, 2018

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

FAIRLAWN, OH

Past

January 16, 2007 - March 10, 2009

BUTLER, WICK & CO., INC.

RIA

CRD#: 120

FAIRLAWN, OH

Past

January 11, 2007 - March 10, 2009

BUTLER, WICK & CO., INC.

CRD#: 120

FAIRLAWN, OH

Past

May 15, 2003 - January 12, 2007

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

AKRON, OH

Past

June 1, 2001 - January 12, 2007

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

AKRON, OH

Past

September 26, 1978 - June 27, 2001

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

November 1, 1975 - September 26, 1978

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

CRD#: 572

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

EGI FINANCIAL, INC.

AMERICAN HERITAGE FINANCIAL | TEAM 3GEN | SARA GIBBS WEALTH MANAGEMENT | EGI FINANCIAL, INC.

CRD#: 120607 / SEC#: 801-112725

RIA

Registered Investment Advisory firm - (3/29/2018 Approved)

Ohio

Registered Investment Advisory firm - (8/27/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(2/26/2018)

Ohio
(1/8/2018)

IAR

Ohio
(6/8/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 1/20/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

PC

Date: 9/8/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 7

Date: 10/18/1975

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

EGI FINANCIAL, INC.

AMERICAN HERITAGE FINANCIAL | TEAM 3GEN | SARA GIBBS WEALTH MANAGEMENT | EGI FINANCIAL, INC.

CRD#: 120607 / SEC#: 801-112725

RIA

Registered Investment Advisory firm - (3/29/2018 Approved)

Ohio

Registered Investment Advisory firm - (8/27/2018 Terminated)

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Contact information

Main Address

50 South Main Street Suite 1210, Akron, OH 44308-1831

Mailing Address

Phone number

(330) 374-1932

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART II (3/26/2025)

FORM CRS (3/26/2025)

ADV SUPPLEMENT (3/26/2025)

Regulatory assets under management

Total Number of Accounts	291
AUM (Assets Under Management)	$ 299,271,253

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.

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Advisor Monitoring

Firm Stability Insights

Diane L. Spencer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Diane Lynn Spencer's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMERICAN HERITAGE SECURITIES, INC.

STIFEL, NICOLAUS & COMPANY, INCORPORATED

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BUTLER, WICK & CO., INC.

BUTLER, WICK & CO., INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

Primary Firm SEC Registration

EGI FINANCIAL, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/20/1988

SIE

Date: 10/1/2018

PC

Date: 9/8/1977

Series 7

Date: 10/18/1975

FINRA

Current Firm

EGI FINANCIAL, INC.

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EGI FINANCIAL, INC.

TRUST BUT VERIFY

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