Diana Sparks Mickey, financial advisor Lockport NY
93 score

Diana Sparks Mickey

CRD Number: 3038739
Current Firm: Lpl Financial LLC

Diana Sparks Mickey (CRD# 3038739) is an Investment Advisor Representative working at Lpl Financial LLC in Lockport, NY and has over 18 years of experience in the finance industry.

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Company Name Location Dates Years
Lpl Financial, LLC Lockport, NY Jun 2010 - Current 6
First Niagara Lockport, NY Jun 2010 - Current 6
Uvest Investment Services Charlotte, NC Feb 2002 - Jun 2010 8
Capital Brokerage Corporation Richmond, VA Mar 1998 - Jun 2010 12
Lockport Savings Bank Lockport, NY Oct 1991 - Jun 2010 18
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jul 1998
S66 NASAA Uniform Combined State Law Examination Dec 2012
Contact Info for Diana L. Sparks Mickey
Phone Number: 617-423-3644
Firm Website: http://www.lpl.com
Registered State(s):
  • NJ
  • TX
By the Numbers
  • Total Assets Under Management
    112,086
    MILLIONS
  • Total Number of Accounts
    531,091
    ACCOUNTS
  • Average Account Value
    $211,049
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • 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)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

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

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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