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Diane Kimberley Fisher

Raymond James & Associates, Inc.

West Hartford, CT

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Current Employers
Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2015-06-01
  • CT RA
    APPROVED
    Since 2015-06-01

Branch Locations

29 South Main Street Suite 210, West Hartford, CT 06107 • 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
Raymond James & Associates, Inc. West Hartford CT 05/2015 Present
Previous Registrations
  • 2008-01-01 → 2015-05-08
    Wells Fargo Clearing Services, Llc
    Farmington, CT
  • 2005-06-20 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Farmington, CT
    St. Louis, MO
    Farmington, CT
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1986-02-04
  • S63 Uniform Securities Agent State Law Examination
    1986-02-04
Other Names
  • Diane Kimberly Fisher

View on SEC IAPD

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