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Detailed Report
DIANA G VAN WINDEN
DIANA L GRIFFIN, DIANA VAN WINDEN, DIANA GRIFFIN VANWINDEN
CRD#: 2540542
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 3700 OLD REDWOOD HWY
STE 108
SANTA ROSA, CA 95403
Registration History
19952000200520102015202020252 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - 2013 (3 years)2 FIRMS2013 - Present (12 years)BMORGAN STANLEY DW INC. (CRD# 7556)1994 - 2007 (12 years)IAMORGAN STANLEY (CRD# 7556)1997 - 2007 (9 years)
License(s)

State Registrations

B
Arizona 1/31/2013
B
Pennsylvania 3/20/2024
B
California 1/30/2013
B
South Dakota 9/26/2018
IA
California 1/31/2013
B
Tennessee 3/25/2025
B
Colorado 6/17/2016
B
Texas 5/18/2023
B
Florida 1/31/2013
IA
Texas 5/18/2023
B
Georgia 9/28/2017
B
Utah 10/28/2021
B
Nevada 12/13/2021
B
Virginia 6/5/2017
B
New Mexico 3/12/2024
B
Washington 1/31/2013
B
North Carolina 2/26/2016
B
Wisconsin 1/9/2018
B
Oregon 1/31/2013

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
3700 OLD REDWOOD HWY STE 108, SANTA ROSA, CA 95403
Registered with this firm since 1/31/2013
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
3700 OLD REDWOOD HWY STE 108, SANTA ROSA, CA 95403
Registered with this firm since 1/30/2013
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/01/2009 - 02/15/2013 MORGAN STANLEY (CRD#:149777) SANTA ROSA, CA
B
 06/01/2009 - 02/15/2013 MORGAN STANLEY (CRD#:149777) SANTA ROSA, CA
IA
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) SANTA ROSA, CA
B
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) SANTA ROSA, CA
IA
 12/12/1997 - 04/02/2007 MORGAN STANLEY (CRD#:7556) SANTA ROSA, CA
B
 09/20/1994 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) SANTA ROSA, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.