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DIANA CLAIRE LOUGEN
DIANA CLAIRE WAGNER
CRD#: 5293930
IA
B
PRIVATE ADVISOR GROUP, LLCCRD#: 155216 8340 Main St
Williamsville, NY 14216
Williamsville, NY 14216
LPL FINANCIAL LLCCRD#: 6413 8340 MAIN ST
WILLIAMSVILLE, NY 14221
WILLIAMSVILLE, NY 14221
0
Disclosures
16
Years of Experience
View By:
State Registrations
B
Florida 3/13/2017
B
North Carolina 3/13/2017
B
Maryland 10/17/2019
B
Ohio 3/13/2017
B
New Jersey 10/8/2023
B
South Carolina 6/9/2021
B
New York 3/13/2017
B
Texas 3/13/2017
IA
New York 5/26/2021
IA
Texas 7/12/2018
SRO Registrations
B
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 4/6/2017
B
Registered with this firm since 3/13/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/15/2011 - 03/13/2017 | CHEEKTOWAGA, NY | |
B | 03/30/2009 - 03/13/2017 | CHEEKTOWAGA, NY | |
B | 03/11/2008 - 02/06/2009 | FAIRPORT, NY |
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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.