Diane Cavanaugh, financial advisor Santa Barbara CA
96 score

Diane Cavanaugh

CRD Number: 5334008
Current Firm: Mercer Global Advisors Inc.

Diane Cavanaugh (CRD# 5334008) is an Investment Advisor Representative working at Mercer Global Advisors Inc. in Santa Barbara, CA and has over 10 years of experience in the finance industry. Diane Cavanaugh 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
Mercer Global Advisors Inc. Santa Barbara, CA Jul 2017 - Current < 1
Santa Barbara Cookie Company Santa Barbara, CA May 2017 - Current 1
J.p. Morgan Securities LLC Sherman Oaks, CA Oct 2012 - Jul 2017 4
Chase Investment Services Corp. Studio City, CA Sep 2010 - Oct 2012 2
Ameriprise Financial Services Inc. Thousand Oaks, CA Sep 2009 - Sep 2010 1
Alliance Wealth Strategies (lpl) Santa Barbara, CA Jul 2009 - Aug 2009 < 1
Santa Barbara Bank & Trust Santa Barbara, CA May 2007 - Jun 2009 2
Primevest Financial Services, Inc. St. Cloud, MN May 2007 - Jun 2009 2
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Jul 2007
Contact Info for Diane M. Cavanaugh
Phone Number: (800) 258-1559
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    10,058
    MILLIONS
  • Total Number of Accounts
    23,813
    ACCOUNTS
  • Average Account Value
    $422,373
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Pension consulting services
  • 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
96
Clean Record
This advisor has a clean track record with regulators.

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