Diane Fredericks (CRD# 5732642) is an Investment Advisor Representative working at Brokers Financial in Urbandale, IA and has over 14 years of experience in the finance industry.
CRD# 5749884
Lpl Financial LLC
CRD# 4912538
Ria Advisory Group, LLC
CRD# 4681464
Principal Securities, Inc.
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Brokers International Financial Services | Clayton, MO | May 2021 - Current | 3 |
| Lincoln Financial Advisors | Clayton, MO | May 2018 - May 2021 | 3 |
| U.s. Bancorp Investments, Inc. | Clayton, MO | Sep 2011 - Apr 2018 | 6 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S66 | NASAA Uniform Combined State Law Examination | Dec 2009 |
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.
Get Details on the FINRA Advisor Check site- MO
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Total Assets Under Management2,000MILLIONS
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Total Number of Accounts11,566ACCOUNTS
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Average Account Value$172,960
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Other
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- Educational seminars/workshops
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