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Diane Jean Lacina

Oppenheimer & Co. Inc.

Houston, TX

Austin, TX

Pflugerville, TX

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Current Employers
Oppenheimer & Co. Inc.

85 Broad Street 22Nd Floor, New York, NY 10004 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2017-07-14
  • TX RA
    APPROVED
    Since 2017-07-14

Branch Locations

711 Louisiana Street 15Th Floor, Houston, TX 77002 • United States

Barton Oaks Plaza Ii 901 S. Mopac Expressway, Suite 210, Austin, TX 78746 • United States

Pflugerville, TX • 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
Southwest Securities, Inc. Southlake TX 09/2009 07/2017
Oppenheimer & Co. Inc. Houston TX 07/2017 Present
  • 09/2009 → 07/2017
    Southwest Securities, Inc.
    Southlake, TX
  • 07/2017 → Present
    Oppenheimer & Co. Inc.
    Houston, TX
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-06-19
S63 Uniform Securities Agent State Law Examination 1999-10-29
  • S66 Uniform Combined State Law Examination
    2006-06-19
  • S63 Uniform Securities Agent State Law Examination
    1999-10-29
Other Names
  • Diane Jean Lacina
  • Diane Jean Klein

View on SEC IAPD

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