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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2026-08-31
NY RA APPROVED 2024-02-13
FL RA APPROVED 2021-12-10
IL RA APPROVED 2021-12-06
CA RA APPROVED 2021-12-01
CT RA APPROVED 2021-12-01
  • TX RA
    APPROVED_RES
    Since 2026-08-31
  • NY RA
    APPROVED
    Since 2024-02-13
  • FL RA
    APPROVED
    Since 2021-12-10
  • IL RA
    APPROVED
    Since 2021-12-06
  • CA RA
    APPROVED
    Since 2021-12-01
  • CT RA
    APPROVED
    Since 2021-12-01

Branch Locations

One Jericho Plaza Suit 205, Jericho, NY 11753 • United States

Port Washington, NY • 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
Willis Towers Watson New York NY 07/2015 05/2018
Foreside Fund Services New York NY 07/2015 05/2018
Alliancebernstein L.P. New York NY 05/2018 11/2021
Ubs Financial Services Inc Jericho NY 12/2021 Present
Previous Registrations
Other Businesses

1)Wing Woman / 47 Milpond RoadPort Washington, NY United States 11050 / Networking group that I started in 2019 that has gained traction and I am going to trademark a logo for it so we can use it for awareness with charities and personal items the group would like to support among ourselves / We are a group of professional/COI women that network with one another / I coordinate networking events and webinars as part of my duties as an FA. But would like to TM the logo so we can have tee-shirts/hats and support select NFPs / Start Date: 6/3/2019 2)Long Island Capital Alliance / LICA, C/O Kaufman McGowan PLLC, 190 Motor Parkway, Suite 202HauppaugeNY11788 / The Long Island Capital Alliance assists local companies in raising growth capital. Our community provides the support network necessary to help build a strong Long Island economy. We accomplish this through education, networking, capital forums, and alliances with other regional organizations. Our quarterly, industry-focused capital forums provide companies with an opportunity to present their business plan to attendees, including investors, LICA members, industry executives and service providers. We also host a panel of industry and investor experts who discuss the investment climate for the presenting companies. / The Long Island Capital Alliance assists local companies in raising growth capital. Our community provides the support network necessary to help build a strong Long Island economy. We accomplish this through education, networking, capital forums, and alliances with other regional organizations. Our quarterly, industry-focused capita Formed in 1998 to bring together CPAs, attorneys, and other experienced corporate financial advisors, AM&AA's 1100+ professional services firms - including some of the most highly recognized leaders in the industry-draw upon their combined transactional expertise to better serve the needs of their middle market clients worldwide.""" / plan events for networkin / Chapter Executive Committee member / 9/1/2021 3)The Exit Planning Exchange / XPX Connecticut, C/O Shipman & Goodwin LLP, One Constitution PlazaHartfordCT06103 / "The Exit Planning Exchange is a network of local nonprofit associations of diverse professional advisors collaborating to help their private company clients build business value, transfer ownership and create a legacy of success in their lives and their communities." / plan events and networking locally / Chapter President / 9/13/2019 4)MUSIC HEALS US,15 Briarwood Dr., Member of Board of directors, supporting the mission of the charity and making introductions to others,12/1/22, 5)Name of Business: Wingwoman Select LLC/ Investment Related: Y/Address: 47 Milpond Road, Port Washington, NY/Nature of Business:Acts as LLC to license out the use of Wing Woman for Wing Woman Reserve/Role: Proprietor / owner/Duties: TM the Wingwoman Select logo so we can have tee-shirts/hats and retail products support select NFPs/ Start Date: 03/23/2023/Hours Devoted:No 6) Name of Business: Lorraine Gregory Communications./ Address: 95-A Executive Drive Edgewood NYUnited States./ Investment Related: No./ Nature: advisory board member for strategy and direction./ Role: Advisor or advisory group member if advice given may influence an officer/board./ Duty: Meet on a quarterly basis to comment on business strategy for Lorraine Gregory./ Start Date: 7/25/2022./ Time Required: No. 7) 13 Knots Ltd, The brand name for single malt whiskey and whisky we are selling with Wing Woman Select to benefit charitbale causes, Proprietor / owner, Branding the whiskey for WingWoman under 13 Knots and will help select whiskey and connect it to charities, start date-6/12/2023, NYUnited States-10022.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-07-13
S63 Uniform Securities Agent State Law Examination 2012-03-16
  • S66 Uniform Combined State Law Examination
    2018-07-13
  • S63 Uniform Securities Agent State Law Examination
    2012-03-16
Other Names
  • Diane Marlene Obryan
  • Diane Obryan Johnston
  • Diane Obryan Johnston
  • Diane Johnston
  • Diane O Johnston
  • Diane O'BRyan Johnston

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