Individual Firm
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Diana M Lucart
DIANA M KEATING, DIANA MARIE SMITH, DIANE MARIE SMITH
CRD#: 2714870
IA
B
EDWARD JONESCRD#: 250 609 ELM ST
PAGE, AZ 86040
PAGE, AZ 86040
0
Disclosures
25
Years of Experience
View By:
State Registrations
B
Arizona 6/20/2007
B
New Mexico 6/21/2007
IA
Arizona 6/25/2007
B
New York 4/15/2022
B
California 6/21/2007
B
Oklahoma 9/2/2015
B
Colorado 6/21/2007
B
Oregon 6/27/2017
B
Florida 8/19/2015
B
Pennsylvania 8/22/2023
B
Hawaii 2/8/2024
B
South Dakota 6/21/2007
B
Idaho 2/25/2016
B
Tennessee 1/19/2022
B
Illinois 12/14/2012
B
Texas 11/5/2015
B
Maine 2/16/2024
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Texas 1/16/2019
B
Michigan 9/23/2014
B
Utah 6/21/2007
B
Minnesota 10/18/2011
B
Washington 10/3/2019
B
Mississippi 2/3/2025
B
Wisconsin 3/24/2017
B
Nebraska 1/26/2016
B
Wyoming 2/7/2011
B
Nevada 1/12/2011
SRO Registrations
B
B
B
B
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IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 08/13/1996 - 02/10/2004 | MILWAUKEE, WI | |
B | 08/13/1996 - 09/25/1996 | MILWAUKEE, WI |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.