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Current Employers
Capital Analysts

601 Office Center Drive Suite 300, Fort Washington, PA 19034-3232 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2021-10-07
  • CA RA
    APPROVED
    Since 2021-10-07

Branch Locations

851 Irwin Street, Suite 200, San Rafael, CA 94901 • United States

Lincoln Investment

601 Office Center Drive Suite 300, Fort Washington, PA 19034-3232 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2018-01-25
  • CA RA
    APPROVED
    Since 2018-01-25

Branch Locations

851 Irwin Street Suite 200, San Rafael, CA 94901 • 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
Legend Equities Corporation Palm Beach Gardens FL 06/2002 01/2017
Lincoln Investment San Rafael CA 01/2017 Present
Capital Analysts, Llc San Rafael CA 10/2021 Present
  • 06/2002 → 01/2017
    Legend Equities Corporation
    Palm Beach Gardens, FL
  • 01/2017 → Present
    San Rafael, CA
  • 10/2021 → Present
    Capital Analysts, Llc
    San Rafael, CA
Previous Registrations
  • 2003-08-08 → 2019-10-04
    Legend Advisory, Llc
    San Rafael, CA
    Palm Beach Gardens, FL
    San Rafael, CA
Other Businesses

PROPERTY MANAGER POSITION: management of these properties. NATURE: Property Manager INVESTMENT RELATED: Yes NUMBER OF HOURS: 32 SECURITIES TRADING HOURS: 16 START DATE: 06/01/2016 ADDRESS: 851 Irwin St, Ste 200, San Rafael CA 94901, United States DESCRIPTION: Hiring contractors, listing the property for rent, deposits and return rent deposit. San Francisco rent law compliance. DBA Diana J. Bauer Position: Owner/Property Manager Nature: Real Estate Investment Related: Yes Hours: 3 Securities Trading Hours: 1 Start Date: 1/1/2012 Address: 851 Irwin St Ste 200 San Rafael, CA 94901 Description: property manger Tax Prep Position: sole proprietor. Nature: Tax Preperation Investment Related: No Hours: 5 Securities Trading Hours: 0 Start Date: 1/1/2017 Address: 851 Irwin Street Suite 200 San Rafael, CA 94901 San Rafael, CA 94901 Description: I complete tax returns

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2002-07-09
S65 Uniform Investment Adviser Law Examination 2000-05-18
  • S63 Uniform Securities Agent State Law Examination
    2002-07-09
  • S65 Uniform Investment Adviser Law Examination
    2000-05-18
Designations
Other Names
  • Diana Lyn Bauer
  • Diana Lyn Johnson
  • Diana Lyn Johnson Bauer

View on SEC IAPD

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