Individual Firm
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DIANA LOUISE FALKENHAINER
CRD#: 3066448
IA
B
WELLS FARGO ADVISORSCRD#: 19616 350 W COLORADO BLVD STE 390
[LC-RBO]
PASADENA, CA 91105
[LC-RBO]
PASADENA, CA 91105
0
Disclosures
23
Years of Experience
View By:
State Registrations
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Alabama 11/19/2018
B
Missouri 10/31/2019
B
Alaska 5/20/2019
B
Montana 2/4/2020
B
Arizona 3/11/2015
B
Nevada 3/11/2015
B
Arkansas 8/24/2021
B
New Hampshire 8/24/2021
B
California 12/18/2014
B
New Jersey 10/31/2019
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California 12/19/2014
B
New Mexico 10/31/2019
B
Colorado 11/1/2016
B
New York 3/11/2015
B
Connecticut 11/30/2015
B
North Carolina 7/30/2019
B
Delaware 7/30/2019
B
Ohio 11/1/2019
B
Florida 10/2/2015
B
Oregon 3/11/2015
B
Georgia 5/29/2018
B
Pennsylvania 10/31/2019
B
Hawaii 7/30/2019
B
South Carolina 2/7/2023
B
Idaho 1/4/2019
B
South Dakota 5/28/2020
B
Illinois 8/13/2015
B
Tennessee 5/29/2018
B
Indiana 7/20/2021
B
Texas 3/11/2015
B
Kansas 8/24/2021
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Texas 3/12/2015
B
Kentucky 12/20/2023
B
Utah 11/19/2018
B
Louisiana 8/24/2021
B
Virginia 11/4/2016
B
Maryland 11/4/2016
B
Washington 3/11/2015
B
Michigan 3/6/2019
B
West Virginia 11/19/2018
B
Minnesota 2/4/2020
B
Wyoming 10/31/2019
SRO Registrations
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View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 12/19/2014
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Registered with this firm since 12/18/2014
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/25/2014 - 12/05/2014 | PASADENA, CA | |
B | 07/25/2014 - 12/05/2014 | PASADENA, CA | |
IA | 01/03/2011 - 02/10/2014 | LOS ANGELES, CA | |
B | 01/03/2011 - 02/10/2014 | LOS ANGELES, CA | |
IA | 05/03/2010 - 01/03/2011 | LOS ANGELES, CA | |
B | 05/07/2010 - 01/03/2011 | LOS ANGELES, CA | |
IA | 11/24/2008 - 02/11/2009 | PASADENA, CA | |
B | 11/21/2008 - 02/11/2009 | PASADENA, CA | |
IA | 07/07/2008 - 12/02/2008 | PASADENA, CA | |
B | 05/16/2008 - 12/02/2008 | PASADENA, CA | |
B | 12/20/2001 - 05/14/2008 | LOS ANGELES, CA | |
B | 11/30/2001 - 05/14/2008 | LOS ANGELES, CA | |
B | 02/14/2000 - 08/29/2001 | WEEHAWKEN, NJ | |
B | 02/09/1999 - 05/21/1999 | NEW YORK, NY | |
B | 09/25/1998 - 10/22/1998 | MINNEAPOLIS, MN | |
B | 09/25/1998 - 10/22/1998 | MINNEAPOLIS, MN |
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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.