Diane Kathleen Case

Current Employers

Shenandoah Financial

Charles Town, WV • United States

Current Registrations

Authority	Category	Status	Date
WV	RA	APPROVED	2017-04-18

WV RA
APPROVED

Since 2017-04-18

Branch Locations

Charles Town, WV • 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

Organization	City	State	From	To
Diane Case, Sole Proprietor	Charles Town	WV	01/1993	Present
Gradient Advisors, Llc	Arden Hills	MN	10/2015	12/2016
Diane Case Dba Shenandoah Financial	Charles Town	WV	02/2017	Present

01/1993 → Present

Diane Case, Sole Proprietor

Charles Town, WV
10/2015 → 12/2016

Gradient Advisors, Llc

Arden Hills, MN
02/2017 → Present

Diane Case Dba Shenandoah Financial

Charles Town, WV

Previous Registrations

2015-10-06 → 2016-12-31

Gradient Advisors, Llc

Charles Town, WV

Arden Hills, MN
2008-04-18 → 2012-12-31

Equity Services, Inc.

Winston Salem, NC
2007-04-26 → 2007-12-31

Southeast Investments, N.C. Inc

Kernersville, NC
2005-06-16 → 2006-12-31

Investors Capital Corp.

Gilford, NH

Kernersville, NC

Lynnfield, MA
2002-05-07 → 2005-06-16

Eastern Point Advisors Inc.

Kernersville, NC

Other Businesses

Diane Case is also a licensed insurance agent. Approximately 25% of her time is spent in this practice. From time to time, she may offer clients products and/or services from this activity.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2016-01-21
S63	Uniform Securities Agent State Law Examination	1995-03-08

S65 Uniform Investment Adviser Law Examination

2016-01-21
S63 Uniform Securities Agent State Law Examination

1995-03-08

Other Names

Diane Kathleen Norton

View on SEC IAPD