DJ
Diana L. Jenkins
ROBERT W. BAIRD & CO.
FORT WORTH, TX 76107
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CRD#: 873008
DJ
Professional summary
Diana Lynn Jenkins, CFP®, who also goes by Diana Lynn Miller, is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Fort Worth, Texas.
Diana is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1979. Diana has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
What are your service offerings?
Investment Planning
Tax Planning
Comprehensive Financial Planni...
Estate Planning
Retirement Planning
Are you a "fiduciary"?
Yes
Aliases
Diana Lynn Miller
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.
Diana Jenkins is dually registered with Silver Lake Capital Partners LLC and Level Four Financial, LLC ("Level Four Financial"). Ms. Jenkins has served as an investment advisor representative for Silver Lake Capital Management and as a registered representative with Level Four Financial since 05/2024. Business is conducted from 5005 L.B.J. Freeway, Suite 720, Dallas, TX, 75244. Approximately 90% of Ms. Jenkins' time is for services as an investment advisor representative and the balance as a registered representative.
CRS (Client Relationship Summary) - RIA
Click below to view Diana Lynn Jenkins's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Diana Lynn Jenkins's 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®
CFP®
Start date: 1984
Experience
Current
July 18, 2024 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 550 Bailey Avenue Suite 700, Fort Worth, TX 76107Office #2: 8333 Douglas Ave Ste 1000, Dallas, TX 75225RIA
BD
CRD#: 8158
FORT WORTH, TX
Current
July 18, 2024 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 550 Bailey Avenue Suite 700, Fort Worth, TX 76107Office #2: 8333 Douglas Ave Ste 1000, Dallas, TX 75225RIA
BD
CRD#: 8158
FORT WORTH, TX
Past
May 14, 2024 - December 2, 2024
SILVER LAKE CAPITAL PARTNERS
RIA
CRD#: 329997
DALLAS, TX
Past
January 2, 2009 - May 15, 2024
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
DALLAS, TX
Past
April 2, 2008 - December 31, 2013
KEMPLE CAPITAL, LLC
RIA
CRD#: 129691
DALLAS, TX
Past
March 5, 2008 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
DALLAS, TX
Past
February 26, 2008 - May 15, 2024
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
DALLAS, TX
Past
September 21, 2004 - February 15, 2008
FIRST HORIZON ADVISORS, INC.
RIA
CRD#: 17117
DALLAS, TX
Past
September 21, 2004 - February 15, 2008
FIRST HORIZON ADVISORS, INC.
BD
CRD#: 17117
DALLAS, TX
Past
July 2, 2001 - November 30, 2004
QUEST CAPITAL MANAGEMENT, INC.
RIA
CRD#: 114690
DALLAS, TX
Past
May 3, 2000 - September 10, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
Past
October 27, 1992 - November 7, 1996
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
Past
June 19, 1990 - April 23, 1993
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
DALLAS, TX
Past
August 15, 1985 - June 29, 1990
KEOGLER, MORGAN & COMPANY, INC.
BD
CRD#: 16546
ATLANTA, GA
Past
May 22, 1981 - August 26, 1985
FSC SECURITIES CORPORATION
BD
CRD#: 7461
Past
October 29, 1979 - November 19, 1982
FINANCIAL STRATEGIES INVESTMENT CORPORATION
BD
CRD#: 7989
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".
ROBERT W. BAIRD & CO. INCORPORATED
BAIRD | THE DDK GROUP | ROBERT W. BAIRD & CO. INCORPORATED | CHAUTAUQUA CAPITAL MANAGEMENT | BAIRD PRIVATE WEALTH MANAGEMENT | BAIRD PRIVATE ASSET MANAGEMENT | BAIRD INSTITUTIONAL EQUITIES & RESEARCH | BAIRD GENERATIONAL WEALTH GROUP | BAIRD EQUITY ASSET MANAGEMENT | BAIRD ADVISORS
CRD#: 8158 / SEC#: 801-7571, 8-497
RIA
Registered Investment Advisory firm - SEC (7/14/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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.RR
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
RR
Texas(7/18/2024)
IAR
Texas(7/18/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
ROBERT W. BAIRD & CO. INCORPORATED
BAIRD | THE DDK GROUP | ROBERT W. BAIRD & CO. INCORPORATED | CHAUTAUQUA CAPITAL MANAGEMENT | BAIRD PRIVATE WEALTH MANAGEMENT | BAIRD PRIVATE ASSET MANAGEMENT | BAIRD INSTITUTIONAL EQUITIES & RESEARCH | BAIRD GENERATIONAL WEALTH GROUP | BAIRD EQUITY ASSET MANAGEMENT | BAIRD ADVISORS
CRD#: 8158 / SEC#: 801-7571, 8-497
RIA
Registered Investment Advisory firm - SEC (7/14/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391
Mailing Address
P.o. Box 672, Milwaukee, WI 53201
Phone number
(414) 765-3500
Established
Wisconsin since 12/29/1919
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
4,175
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAIRD FINANCIAL CORPORATION | SHAREHOLDER | |
| BOOTH, STEVEN GREGORY | CHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER | 2147388 |
| DAHLBERG, ERIK CHARLES | DIRECTOR | 1650544 |
| GRAVERSON, CHRISTA LYNN | CHIEF COMPLIANCE OFFICER | 4912961 |
| LAWTON, PATRICK STEVEN | DIRECTOR | 1007318 |
| MAXWELL, TERRANCE PATRICK | CHIEF FINANCIAL OFFICER, DIRECTOR | 1463158 |
| PALMER, ANGELA MARIE | REGISTERED INVESTMENT ADVISOR CCO | 4915568 |
| SCHROEDER, MICHAEL JOHN | DIRECTOR | 1483012 |
| SCHULTZ, PAUL LEE | GENERAL COUNSEL, SECRETARY | 1965163 |
| STANEK, MARY ELLEN | DIRECTOR | 2006493 |
| THUROW, LAURA K | CHIEF OPERATIONS OFFICER | 3193702 |
Regulatory assets under management
| Total Number of Accounts | 350,776 |
| AUM (Assets Under Management) | $ 342,142,869,924 |
Disclosures
| Regulatory Event | 43 |
| Arbitration | 31 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2024 | ||
| 11/15/2023 |
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.
