Diana Robinson
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 Robinson, who also goes by Diana Jeanne Phillips, Diane Jeanne Phillips, Diana Jeanne Robinson, Diane Robinson, was a registered financial professional .
Diana is a previously registered financial professional and started their career in finance in 1979. Diana had worked at 11 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
April 7, 2015 - November 27, 2018
WILLOW COVE INVESTMENT GROUP, INC.
July 12, 2013 - April 8, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
July 12, 2013 - April 8, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
March 3, 2009 - July 1, 2013
MADISON AVENUE SECURITIES, LLC
March 3, 2009 - July 1, 2013
MADISON AVENUE SECURITIES, LLC
October 9, 2008 - March 2, 2009
R.W. TOWT & ASSOCIATES
October 8, 2008 - March 2, 2009
R.W. TOWT & ASSOCIATES
February 1, 2008 - October 13, 2008
ON INVESTMENT MANAGEMENT CO
February 1, 2008 - October 13, 2008
THE O.N. EQUITY SALES COMPANY
May 23, 2007 - January 15, 2008
LPL FINANCIAL LLC
March 30, 1998 - January 15, 2008
LPL FINANCIAL LLC
February 5, 1993 - March 31, 1998
MONY SECURITIES CORPORATION
July 13, 1983 - February 8, 1993
CETERA WEALTH SERVICES, LLC
July 27, 1981 - July 7, 1983
FSC SECURITIES CORPORATION
January 17, 1979 - August 4, 1981
INDEPENDENT FINANCIAL PLANNERS CORPORATION
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: 1/8/1979
Registered Representative ExaminationCurrent Firm
WILLOW COVE INVESTMENT GROUP, INC.
CRD#: 107824 / SEC#: , 8-53062
Contact information
FINRA licenses (12 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
