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Diane Elizabeth Hoenig

Ameriprise Financial Services, LLC

Kennebunk, ME

Springvale, ME

Bridgton, ME

Springvale, ME

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Current Employers
Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

AuthorityCategoryStatusDate
ME RA APPROVED 2002-10-02
  • ME RA
    APPROVED
    Since 2002-10-02

Branch Locations

112 York St, Kennebunk, ME 04043 • United States

Springvale, ME • United States

300 Portland Rd Ste 3, Bridgton, ME 04009-4227 • United States

Springvale, ME • 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
Ameriprise Financial Services, Inc. Springvale ME 10/1993 03/2020
Ameriprise Financial Services, Llc Springvale ME 03/2020 Present
Other Businesses

Real Estate Ownership; Condo; 6620 Estero Blvd #505, , Fort Myers Beach, FL, 33931; Investment-Related; 07/01/2021.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-07-20
S63 Uniform Securities Agent State Law Examination 1993-12-04
  • S65 Uniform Investment Adviser Law Examination
    1995-07-20
  • S63 Uniform Securities Agent State Law Examination
    1993-12-04
Designations
Other Names
  • Diane Elizabeth Mcmillan

View on SEC IAPD

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