Diane Raben, financial advisor Pacific Palisades CA
96 score

Diane Raben

CRD Number: 1436788
Current Firm: Morgan Stanley

Diane Raben (CRD# 1436788) is an Investment Advisor Representative working at Morgan Stanley in Pacific Palisades, CA and has over 28 years of experience in the finance industry. Diane Raben has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

Similar Advisors
Jeffrey Tilson, financial advisor Pacific Palisades CA
Jeffrey S. Tilson
CRD# 4504995
Jst Investment Consulting
Score
105
Similar Advisors
David Fried, financial advisor Pacific Palisades CA
David R. Fried
CRD# 2753945
Fried Asset Management, Inc.
Score
104
Similar Advisors
Morris Amiri, financial advisor Pacific Palisades CA
Morris M. Amiri
CRD# 4266581
Dash Investments
Score
103
Professional Designations
Company Name Location Dates Years
Morgan Stanley Private Bank, National Association New York, NY Jan 2015 - Current 1
Morgan Stanley Smith Barney Palisades, CA Jun 2009 - Current 7
Morgan Stanley & Company, Incorporated Palisades, CA Apr 2007 - May 2009 2
Dean Witter Reynolds Inc. Beverly Hills, CA Oct 1985 - Apr 2007 21
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jul 1988
S65 NASAA Investment Advisors Law Examination Oct 1998
Contact Info for Diane S. Raben
Phone Number: 914-225-5510
Registered State(s):
  • CA
  • TX
By the Numbers
  • Total Assets Under Management
    535,890
    MILLIONS
  • Total Number of Accounts
    1,563,538
    ACCOUNTS
  • Average Account Value
    $342,742
Compensation Options
  • A percentage of assets under your management
  • 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)
  • 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, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

Ready to hire a financial advisor? Get competitive proposals from Diane Raben and other advisors.
BADGES
96
Clean Record
This advisor has a clean track record with regulators.

About Wealthminder

Wealthminder was created for one simple reason: To help people get the financial assistance they need to achieve their long-term financial goals.

Wealthminder is a database of every Investment Advisor Representative in the country. We work hard to collect and provide you the information you need to find a financial advisor who’s right for you.

If you are looking for a specific financial advisor and you can’t find them on Wealthminder, it’s likely that they are either exclusively a broker or are unlicensed - please contact us and we’ll try to help!

Finding a Financial Advisor through Wealthminder

Historically finding and hiring a financial advisor was hard. Wealthminder was built to make the process much easier.

The best way to use Wealthminder is to take advantage of our free proposal system. All you have to do is take a few minutes of your time to describe your situation and the assistance you are looking for.

Wealthminder then sends your request to our network of prescreened financial advisors. If a financial advisor is interested in your business, they will submit a proposal to you.

You review the proposals you receive and decide if you’d like to have a follow-up call with one or more of the financial advisors.

Throughout the process, you maintain control. We only share your contact information with a financial advisor once you ask for an introduction.