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Diane Lynn Spencer

Egi Financial, Inc.

Akron, OH

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Current Employers
Egi Financial, Inc.

50 South Main Street Suite 1210, Akron, OH 44308-1831 • United States

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2021-06-08
  • OH RA
    APPROVED
    Since 2021-06-08

Branch Locations

50 S Main St Suite 1210, Akron, OH 44308 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Stifel, Nicolaus & Company, Incorporated Fairlawn OH 03/2009 01/2018
American Heritage Securities Inc Akron OH 01/2018 Present
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1988-01-20
  • S63 Uniform Securities Agent State Law Examination
    1988-01-20
Other Names
  • Diane Lynn Berry
  • Diane Spencer Berry

View on SEC IAPD

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