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Diane Elizabeth Mcgovern

Raymond James & Associates, Inc.

Chicago, IL

Chicago, IL

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Current Employers
Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-06-01
IL RA APPROVED 2006-02-15
  • TX RA
    APPROVED_RES
    Since 2021-06-01
  • IL RA
    APPROVED
    Since 2006-02-15

Branch Locations

120 S Riverside Plaza Suite 700, Chicago, IL 60606 • United States

Chicago, IL • 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
Raymond James & Associates, Inc. Chicago IL 02/2006 Present
Previous Registrations
  • 2004-11-10 → 2006-02-06
    Morgan Stanley Dw Inc.
    Chicago, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-11-09
S63 Uniform Securities Agent State Law Examination 1991-08-26
  • S65 Uniform Investment Adviser Law Examination
    2004-11-09
  • S63 Uniform Securities Agent State Law Examination
    1991-08-26
Other Names
  • Diane E Mcgovern

View on SEC IAPD

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