Dianne Karol Davis

Commonwealth Financial Network

Claim This Profile

Current Employers

Commonwealth Financial Network

275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2010-11-29

CA RA
APPROVED

Since 2010-11-29

Branch Locations

600 West Broadway Suite 3200, San Diego, CA 92101 • United States

4715 Viewridge Ave Suite 250, San Diego, CA 92123 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Commonwealth Financial Network	San Diego	CA	11/2010	Present

11/2010 → Present

Commonwealth Financial Network

San Diego, CA

Previous Registrations

2010-03-15 → 2010-10-25

Lpl Financial Llc

Coronado, CA
2005-03-10 → 2010-02-04

Neuberger Berman Bd Llc

Newport Beach, CA
2004-03-22 → 2005-02-16

Banc Of America Investment Services, Inc.

Santa Clarita, CA
2000-02-18 → 2004-03-06

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Seal Beach, CA

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1999-12-22
S65	Uniform Investment Adviser Law Examination	1999-12-17

S63 Uniform Securities Agent State Law Examination

1999-12-22
S65 Uniform Investment Adviser Law Examination

1999-12-17

Designations

Other Names

Dianne Karol Davis
Dianne Karol Davis
Kianne Karol Davis

View on SEC IAPD

Other Firms

CETERA INVESTMENT ADVISERS LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RBC CAPITAL MARKETS, LLC

CETERA INVESTMENT MANAGEMENT LLC

ONE CAPITAL MANAGEMENT, LLC

TRIVANT CUSTOM PORTFOLIO GROUP LLC

SILVIA MCCOLL WEALTH MANAGEMENT, LLC

RICE HALL JAMES & ASSOCIATES LLC

Other Investors

Summer Rae Pretzer

Jeffrey Raymond Dockan

James Grandinetti

ASHLEY LYNN TESTER

Other Offices

CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · SAN DIEGO, CA

CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA

RBC CAPITAL MARKETS, LLC · SAN DIEGO, CA

CETERA INVESTMENT MANAGEMENT LLC · SAN DIEGO, CA

CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA

CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA

CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA

More in San Diego, CA

Reviews

Want to share your experience?

Sign in to leave a review

Loading reviews...

Reach out to this advisor