Diane Mickel
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 Mickel was a registered financial professional .
Diane is a previously registered financial professional and started their career in finance in 1979. Diane had worked at 2 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
February 29, 1984 - March 26, 2012
DETWILER FENTON & CO.
July 27, 1979 - October 8, 1982
CLAYTON, POLLEYS & CO., INC.
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
DETWILER FENTON & CO.
CRD#: 1794 / SEC#: , 8-16324
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DETWILER FENTON GROUP, INC. | HOLDING COMPANY | |
| FENTON, PETER DELIMA | CEO, PRESIDENT, CCO | 2334505 |
| KAPPOTIS, ERNEST D | FINOP |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 7 |
| Bond | 2 |
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.
