Diane Ellen Rook-johnson

Current Employers

Independent Financial Group, Llc

12671 High Bluff Dr Suite 200, San Diego, CA 92130 • United States

Current Registrations

Authority	Category	Status	Date
MN	RA	APPROVED	2014-06-13

MN RA
APPROVED

Since 2014-06-13

Branch Locations

Pequot Lakes, MN • 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
Western Fraternal Life	Cedar Rapids	IA	06/1983	Present
Independent Financial Group Llc	Pequot Lakes	MN	04/2014	Present

06/1983 → Present

Western Fraternal Life

Cedar Rapids, IA
04/2014 → Present

Independent Financial Group Llc

Pequot Lakes, MN

Previous Registrations

2014-01-22 → 2014-06-16

Cetera Advisors Llc

Baxter, MN

Pequot Lakes, MN

Other Businesses

(1) RENTAL PROPERTY POSITION: Joint owner with spouse NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/01/1990 ADDRESS: 3070 100th st sw, pequot lakes MN 56472, United States DESCRIPTION: OWNER RENTAL PROPERTY. (2) FINANCIAL GROUP OF CENTRAL MINNESOTA POSITION: owner/dba NATURE: DBA Name for Marketing Purposes INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 15 START DATE: 06/01/1982 ADDRESS: 3070 100th Street Sw, Pequot Lakes MN 56472, United States DESCRIPTION:100% OWNER OF FINANCIAL GROUP OF CENTRAL MINNESOTA FOR MARKETING PURPOSES. (3) FARM POSITION: 50% owner NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/01/1985 ADDRESS: 3070 100th st sw, pequot lakes MN 56472, United States DESCRIPTION: 50% OWNER OF FARMING/BEEKEEPING SERVICE. (4) NOTARY POSITION: owner NATURE: Notary INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 05/31/1981 ADDRESS: 3070 100th Street Sw, Pequot Lakes MN 56472, United States DESCRIPTION: Notary NOTARY POSITION: owner NATURE: Notary INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 05/31/1981 ADDRESS: 3070 100th Street Sw, Pequot Lakes MN 56472, United States DESCRIPTION: notary FINANCIAL GROUP OF CENTRAL MINNESOTA POSITION: owner/dba NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 15 START DATE: 06/01/1982 ADDRESS: 3070 100th Street Sw, Pequot Lakes MN 56472, United States DESCRIPTION: DBA Marketing Purpose Only

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1996-03-22

S63 Uniform Securities Agent State Law Examination

1996-03-22

Other Names

Diane Ellen Rook
Diane Ellen Plikuhn
Diane Ellen Rookjohnson

View on SEC IAPD