Diana Lauck Cook

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars
• PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

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

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

Current Employers

Employment History

• 11/2012 → 11/2018
  The Prudential Insurance Company Of America
  Mayfield Heights, OH
• 12/2013 → 11/2018
  Valmark Securities, Inc.
  Akron, OH
• 11/2018 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Canton, OH

Previous Registrations

• 2007-01-24 → 2007-09-11
  Edward Jones
  Akron, OH

Other Businesses

I*120135 For profit or not for profit: For-Profit Organization Name of outside business organization: Dished by Diana Investment related: N Address of business: Kent, 44240 Nature of business: Sole Proprietorship, Position, title, association: Owner, Start date of relationship: 9/17/2017 Number of hours devoted: 4 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Make and sell glass up cycled bird baths and serving trays. Glass art. Owner and artist. I*2116306, Entity Type: Fiduciary, Name of OBA: F and L L, Address: Ravenna , Ohio, 44266, Investment Related: N, Position, Title, Association: , Employee State Date: 12/05/2024, No Hours: 1 Yearly, No Hours during Trading: 0 Yearly, Duties:

Exams

• S66 Uniform Combined State Law Examination
  2019-03-23
• S63 Uniform Securities Agent State Law Examination
  2004-10-08

Other Names

• Diana Lauck Cook
• Diana Lynn Lauck
• Diana L Cook
• Diana Cook