Diane James (CRD# 2134279) is an Investment Advisor Representative working at Centaurus Financial, Inc. in Arroyo Grande, CA and has over 32 years of experience in the finance industry.
CRD# 1633454
Lpl Financial LLC
CRD# 6342307
San Luis Wealth Advisors
CRD# 4781575
J.p. Morgan Securities LLC
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Centaurus Financial Inc. | Anaheim, CA | Oct 2014 - Current | 9 |
| Carey James & Assoc. | Arroyo Grande, CA | Apr 2007 - Current | 17 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Mar 1992 |
| S66 | NASAA Uniform Combined State Law Examination | Jun 2015 |
- CA
- IN
- OH
- TX
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Total Assets Under Management5,212MILLIONS
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Total Number of Accounts30,814ACCOUNTS
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Average Account Value$169,144
- 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
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- Market timing services
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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