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Diane Kay Cassens

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Rockford, IL

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2009-12-18
TX RA APPROVED_RES 2006-02-03
  • IL RA
    APPROVED
    Since 2009-12-18
  • TX RA
    APPROVED_RES
    Since 2006-02-03

Branch Locations

973 Featherstone Rd, Rockford, IL 61107 • 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
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Saginaw MI 01/2006 Present
Bank Of America, Na Rockford IL 12/2009 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-12-01
S63 Uniform Securities Agent State Law Examination 1996-09-24
  • S66 Uniform Combined State Law Examination
    2009-12-01
  • S63 Uniform Securities Agent State Law Examination
    1996-09-24
Other Names
  • Diane K Buehler
  • Diane Kay Costello
  • Diane Kay Buehler
  • Diane K Cassens

View on SEC IAPD

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WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · ROCKFORD, IL
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STACKSTONE WEALTH, LLC · ROCKFORD, IL
EDWARD JONES · ROCKFORD, IL
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