Seth James Diener

Current Employers

Employment History

• 10/2003 → 12/2017
  James Barton Agency
  Horsham, PA
• 08/2008 → 03/2018
  Nationwide Securities, Llc
  Horsham, PA
• 04/2018 → Present
  Lpl Financial, Llc
  Horsham, PA

Previous Registrations

• 2011-02-08 → 2018-04-25
  Nationwide Securities, Llc
  Horsham, PA
  Horsham, PA

Other Businesses

1. 4/27/2018: Diener Money Management; At Reported Business Location(s); DBA for LPL Business (entity for LPL business); Inv. related; start date 1/1/2013; 165hrs/mo.; 40hrs during trading. 2. 2/19/2019: Diener Money Management; At Reported Business Location(s); Non-Variable Insurance; Var Life VU's, TRAD LIFE, DISABLITY, LTC; Inv. related; start date 4/27/2018; 5hrs/mo. during trading. 3. 7/1/2020: Oak & Stone Capital; Investment Related; At Reported Business Location(s); DBA for LPL Business (entity for LPL business); Inv. related; start date 6/29/2020; 10hrs/mo.; 1hr during trading. 4. 12/30/2020: Whitten Retirement Solutions; At Reported Business Location(s); DBA for LPL Business (entity for LPL business); Inv. related; start date 10/1/2019; 10hrs/mo.; 3hrs during Securities trading. 5. 8/8/2023: Oak and Stone Marketing; At Reported Business Location(s); Business Owner - Marketing Services; Investment Related; Start Date 8/1/2022; 10hrs/mo. during trading. 6. 11/2/2023: Oak & Stone Capital Advisors; At Reported Business Location(s); DBA for LPL Business (entity for LPL business); Inv. related; start date 9/25/2018; 80hrs/mo. during trading.

Exams

• S66 Uniform Combined State Law Examination
  2008-08-11
• S63 Uniform Securities Agent State Law Examination
  2003-03-13