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Detailed Report
DIANE ELLEN ROOK-JOHNSON
DIANE ELLEN PLIKUHN, DIANE ELLEN ROOK, DIANE ELLEN ROOKJOHNSON
CRD#: 2709979
IA
Investment Adviser
B
Broker
INDEPENDENT FINANCIAL GROUP, LLCCRD#: 7717 Pequot Lakes, MN
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2014 - Present (10 years)BCETERA ADVISORS LLC (CRD# 10299)2012 - 2014 (2 years)BPACIFIC WEST SECURITIES, INC. (CRD# 6390)2003 - 2012 (8 years)BSENTRA SECURITIES CORPORATION (CRD# 10249)1996 - 2003 (7 years)IACETERA ADVISORS LLC (CRD# 10299)2014 - 2014 (<1 year)
License(s)

State Registrations

B
Alaska 6/13/2014
B
Minnesota 6/13/2014
B
California 6/13/2014
IA
Minnesota 6/13/2014
B
Colorado 2/6/2024
B
Nevada 6/13/2014
B
Florida 6/13/2014
B
Oregon 9/21/2015

SRO Registrations

B
 FINRA

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
INDEPENDENT FINANCIAL GROUP, LLC (CRD#:7717)
Pequot Lakes, MN
Registered with this firm since 6/13/2014
B
INDEPENDENT FINANCIAL GROUP, LLC (CRD#:7717)
Pequot Lakes, MN
Registered with this firm since 6/13/2014
Previous Registration(s)
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IA
 01/22/2014 - 06/16/2014 CETERA ADVISORS LLC (CRD#:10299) BAXTER, MN
B
 02/28/2012 - 06/16/2014 CETERA ADVISORS LLC (CRD#:10299) BAXTER, MN
B
 06/02/2003 - 02/28/2012 PACIFIC WEST SECURITIES, INC. (CRD#:6390) BAXTER, MN
B
 04/18/1996 - 06/09/2003 SENTRA SECURITIES CORPORATION (CRD#:10249) PHOENIX, AZ
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.