Diana Leigh Wynn

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
MT	RA	APPROVED	2018-06-19
WA	RA	APPROVED	2016-05-03

MT RA
APPROVED

Since 2018-06-19
WA RA
APPROVED

Since 2016-05-03

Branch Locations

Oak Harbor, WA • United States

32650 State Route 20 Ste C203, Oak Harbor, WA 98277 • 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
Lpl Financial, Llc	Oak Harbor	WA	04/2016	Present

04/2016 → Present

Lpl Financial, Llc

Oak Harbor, WA

Previous Registrations

2010-08-06 → 2016-04-29

Commonwealth Financial Network

San Diego, CA

Oak Harbor, WA
2007-03-30 → 2010-08-10

Edward Jones

Oak Harbor, WA

Oak Harbor, WA

Other Businesses

(1) 04/29/2016: Island Financial Management, LLC - Business Entity For Tax/Investment Purposes Only - INV REL - At Reported Business Location(s) - Started 06/01/2010 - Commission from DBA for LPL Business (2) 04/29/2016: Seth Real Estate Services, LLC - Family Business - INV REL - 248B SE Ely St - Started 10/01/2001 - REAL ESTATE APPRAISAL / 50% OWNER AS SPOUSE OF THE LLC - No Time Spent (3) 08/01/2016: Seth Real Estate Services, LLC - Family Business - NOT INV REL - 248B SE Ely St Oak Harbor, WA 98277 - Started 01/01/2010 - REAL ESTATE APPRAISAL / 50% OWNER AS SPOUSE OF THE LLC / Taking courses to become a Real Estate Appraiser Trainee in order to become more involved in the family business and to be able to do entry level report assistance. I will only be devoting evenings and weekends to this OBA. - 40 Hr/Mo; 0 Hours During Securities Trading. (4) 5/8/2018 - North Sound Financial Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 01/02/2017 - 80 Hours Per Month/4 Hours During Securities Trading - Time Spent 50%. (5) 10/24/2022 - No Business Name - Investment Related - Oak Harbor, WA 98277 - Real Estate Rental - Co-Owner - Start Date: 10/01/2022 - 2 Hours Per Month/0 Hours During Securities Trading.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-03-28
S63	Uniform Securities Agent State Law Examination	2001-09-27

S66 Uniform Combined State Law Examination

2007-03-28
S63 Uniform Securities Agent State Law Examination

2001-09-27

Other Names

Diana Leigh Cook
Diana Leigh Cook
Diana Leigh Heidt
Diana Leigh Heidt

View on SEC IAPD