Diana Johnson-Bauer, financial advisor San Rafael CA
96 score

Diana Johnson-Bauer

CRD Number: 4556795
Current Firm: Legend Advisory Corporation

Diana Johnson-Bauer (CRD# 4556795) is an Investment Advisor Representative working at Legend Advisory Corporation in San Rafael, CA and has over 16 years of experience in the finance industry. Diana Johnson-Bauer 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.

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Professional Designations
Company Name Location Dates Years
Legend Equities Corporation Palm Beach Gardens, FL Jun 2002 - Current 14
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jul 2002
S65 NASAA Investment Advisors Law Examination May 2000
Contact Info for Diana L. Johnson-Bauer
Phone Number: (866) 774-8671
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    2,105
    MILLIONS
  • Total Number of Accounts
    29,775
    ACCOUNTS
  • Average Account Value
    $70,710
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Pension consulting services
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, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
96
Clean Record
This advisor has a clean track record with regulators.

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