Diane Adams, financial advisor Omaha NE

Diane Adams

CRD Number: 4185426
Current Firm: Ubs Financial Services Inc.

Diane Adams (CRD# 4185426) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Omaha, NE and has over 20 years of experience in the finance industry.

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Company Name Location Dates Years
Ubs Financial Services Omaha, NE Aug 2019 - Current 2
Gemini Fund Services, LLC Omaha, NE Oct 2013 - Aug 2019 5
Northern Lights Distributors, LLC Omaha, NE Jul 2013 - Aug 2019 6
Cls Investments, LLC Omaha, NE Jul 2013 - Oct 2013 < 1
Manarin Securities Corp Omaha, NE Jul 2012 - Jun 2013 < 1
Allied Beacon Partners Richmond, VA Feb 2011 - Jun 2012 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jul 2001
S66 NASAA Uniform Combined State Law Examination Feb 2020
Contact Info for Diane M. Adams
Phone Number: 201-352-3000
Registered State(s):
  • NE
By the Numbers
  • Total Assets Under Management
    572,471
    MILLIONS
  • Total Number of Accounts
    1,003,533
    ACCOUNTS
  • Average Account Value
    $570,455
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
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)
  • Publication of periodicals or newsletters
  • Security ratings or pricing services
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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