Diana Atha (CRD# 1456850) is an Investment Advisor Representative working at Waterrock Wealth Management in Albuquerque, NM and has over 13 years of experience in the finance industry.
CRD# 4939910
Merrill Lynch, Pierce, Fenner & Smith Incorporated
CRD# 2376474
Cuso Financial Services
CRD# 4186264
Lpl Financial LLC
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Prien Asset Management | Albuquerque, NM | Aug 2023 - Current | < 1 |
| Diana Mae Atha | Albuquerque, NM | Jan 1984 - Current | 40 |
| Onpointe Advisory And Financial Services, LLC | Petaluma, CA | Feb 2014 - Dec 2014 | < 1 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Apr 2011 |
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.
Get Details on the FINRA Advisor Check site- NM
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Total Assets Under Management113MILLIONS
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Total Number of Accounts236ACCOUNTS
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Average Account Value$479,794
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
AZ, NM, TX
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