Diane Harris Whitt

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
FL	RA	APPROVED	2017-11-06

FL RA
APPROVED

Since 2017-11-06

Branch Locations

Bunnell, FL • United States

1 Florida Park Dr N Ste 105B, Palm Coast, FL 32137 • 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
Voya Financial Advisors	Bunnell	FL	09/2014	11/2016
Alliance Financial Partners, Inc.	Palm Coast	FL	06/2013	Present
Lpl Financial, Llc	Bunnell	FL	11/2016	Present

09/2014 → 11/2016

Voya Financial Advisors

Bunnell, FL
06/2013 → Present

Alliance Financial Partners, Inc.

Palm Coast, FL
11/2016 → Present

Lpl Financial, Llc

Bunnell, FL

Other Businesses

1)11/18/16- ALLIANCE FINANCIAL PARTNERS- DBA for LPL Business (entity for LPL business)- Inv. Related- at reported business location(s)- 100%. 2) 5/5/2017 - Alliance Financial Partners - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Insurance Agent - 20 Hours Per Month/10 Hours During Securities Trading.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2017-10-29

S66 Uniform Combined State Law Examination

2017-10-29

Other Names

Diane Harris

View on SEC IAPD