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Diane Lynn Stone

Morgan Stanley

Springfield, MA

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-05-13
  • TX RA
    APPROVED_RES
    Since 2020-05-13

Branch Locations

1500 Main Street 19Th Floor, Springfield, MA 01115 • 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
Morgan Stanley & Co., Incorporated Springfield MA 11/2007 Present
Morgan Stanley Smith Barney Springfield MA 06/2009 Present
  • 11/2007 → Present
    Morgan Stanley & Co., Incorporated
    Springfield, MA
  • 06/2009 → Present
    Morgan Stanley Smith Barney
    Springfield, MA
Other Businesses

1) Uber; Non Investment related; Business / Company; Employee; Aug/2017; During business hours: 0; After business hours: 10; Uber driver

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2005-04-21
  • S63 Uniform Securities Agent State Law Examination
    2005-04-21
Other Names
  • Diane Lynn Stone
  • Diane Lynn Degray

View on SEC IAPD

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RAYMOND JAMES & ASSOCIATES, INC. · SPRINGFIELD, MA
LPL FINANCIAL LLC · SPRINGFIELD, MA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · SPRINGFIELD, MA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · SPRINGFIELD, MA
HEAPHY INVESTMENTS, LLC · SPRINGFIELD, MA
HEAPHY INVESTMENTS, LLC · Springfield, MA
HEAPHY INVESTMENTS, LLC · SPRINGFIELD, MA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SPRINGFIELD, MA

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