Dianne Karol Davis

Employer firm

Commonwealth Financial Network CRD 8032

$213B regulatory AUM 20,450 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 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

• S63 Uniform Securities Agent State Law Examination
  1999-12-22
• S65 Uniform Investment Adviser Law Examination
  1999-12-17

Designations

• Certified Financial Planner

Other Names

• Dianne Karol Davis
• Dianne Karol Davis
• Kianne Karol Davis