Diane Marie Edwards

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:

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

Current Employers

Employment History

• 01/2015 → 07/2018
  Kovack Securities, Inc.
  Fort Lauderdale, FL
• 01/2015 → 07/2018
  Kovack Advisors, Inc.
  Fort Lauderdale, FL
• 07/2018 → Present
  Lpl Financial, Llc
  Newberg, OR

Previous Registrations

• 2015-01-15 → 2018-07-27
  Kovack Advisors, Inc.
  Newberg, OR
  Ft. Lauderdale, FL
• 2007-02-12 → 2014-05-23
  Ubs Financial Services Inc.
  Lake Oswego, OR
  Weehawken, NJ
  Portland, OR
• 2004-12-03 → 2006-11-27
  Edwards/Olsen Financial Services, Inc.
  Newberg, OR
• 2004-07-23 → 2005-09-07
  Kovack Securities Inc.
  Portland, OR
• 2001-01-22 → 2003-12-12
  Metropolitan Financial Services, Inc.
  Spokane, WA

Other Businesses

1. 7/27/2018 - Edwards & Associates Financial Services, Inc. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 01/01/2015 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100%. 2. 7/27/2018 - Edwards & Associates Financial Services, Inc. - Investment Related - At Reported Business Location(s) - Started 01/01/2015 - 5 Hours Per Month/1 Hour During Securities Trading - Time Spent 5% - Fixed Annuities & Life Insurance. 3. 11/30/2023 - Edwards Whisper Falls, LLC - Real Estate Rental - Investment Related - San Antonio, TX - Start Date 11/14/2023 - 1 Hour Per Month/ 0 Hours During Trading 4. 08/06/2024 - Beartas LLC - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 05/31/2024 - 80 Hours Per Month/ 100 Hours During Trading

Exams

• S66 Uniform Combined State Law Examination
  2001-01-22
• S63 Uniform Securities Agent State Law Examination
  1998-01-13

Other Names

• Diane Marie Siflett