Diane Isabela Fredericks

Current Employers

Integrity Alliance, Llc.

4135 Nw Urbandale Dr, Urbandale, IA 50322 • United States

Current Registrations

Authority	Category	Status	Date
MO	RA	APPROVED	2021-05-10

MO RA
APPROVED

Since 2021-05-10

Branch Locations

231 Bemiston, Clayton, MO 63105 • United States

4135 Nw Urbandale Dr, Urbandale, IA 50322 • USA

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
U.S. Bancorp Investments, Inc.	Clayton	MO	09/2011	04/2018
Lincoln Financial Advisors	Clayton	MO	05/2018	05/2021
Integrity Alliance, Llc	Clayton	MO	05/2021	Present

09/2011 → 04/2018

U.S. Bancorp Investments, Inc.

Clayton, MO
05/2018 → 05/2021

Lincoln Financial Advisors

Clayton, MO
05/2021 → Present

Integrity Alliance, Llc

Clayton, MO

Previous Registrations

2018-05-25 → 2021-05-10

Osaic Fa, Inc.

Ballwin, MO

Overland Park, KS

Clayton, MO

Chicago, IL

St. Louis, MO
2011-09-30 → 2018-04-16

U.S. Bancorp Investments, Inc.

Clayton, MO

Saint Louis, MO

Saint Louis, MO

Saint Louis, MO

Saint Louis, MO

Richmond Heights, MO

St Louis, MO
2010-01-06 → 2011-09-29

Edward Jones

St Louis, MO

Ladue, MO

Other Businesses

1) Fredricks Wealth Management; Investment related; 231 S Bemiston, Clayton, MO 63105; DBA; Financial Advisor; Started 5/18/2018; 140 hours per month, 140 during trading; Financial Advisor. 2) Fixed Insurance; Not investment related; 231 S Bemiston, Clayton, MO 63105; Sales of fixed insurance and annuities; Agent; Started 4/10/2010; 25 hours per month, 25 during trading; Sale and service of fixed insurance and annuities.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2009-12-31

S66 Uniform Combined State Law Examination

2009-12-31

Other Names

Diane I Fredericks
Diane Isabela Fredericks

View on SEC IAPD