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Diane Loraine Krause

LPl Financial LLC

Kennesaw, GA

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2006-01-13
  • GA RA
    APPROVED
    Since 2006-01-13

Branch Locations

1690 Stone Village Lane Suite 301, Kennesaw, GA 30152 • 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
OrganizationCityStateFromTo
Linsco/ Private Ledger Corp. Kennesaw GA 10/2005 Present
  • 10/2005 → Present
    Linsco/ Private Ledger Corp.
    Kennesaw, GA
Previous Registrations
  • 2000-07-24 → 2005-02-04
    State Street Research & Management Company
    Boston, MA
Other Businesses

1.04/27/2009-DBA-KRAUSE WEATLH MANAGEMENT GROUP

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-04-19
S63 Uniform Securities Agent State Law Examination 1994-11-04
  • S65 Uniform Investment Adviser Law Examination
    1999-04-19
  • S63 Uniform Securities Agent State Law Examination
    1994-11-04
Other Names
  • Diane Dods
  • Diane L Krause
  • Diane Loraine Dods
  • Diane L Dods

View on SEC IAPD

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Other Offices

EDWARD JONES · KENNESAW, GA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · KENNESAW, GA
MML INVESTORS SERVICES, LLC · Kennesaw, GA
STATE FARM INVESTMENT MANAGEMENT CORP. · Kennesaw, GA
UNITY FINANCIAL PLANNING GROUP LLC · KENNESAW, GA
AMERIPRISE FINANCIAL SERVICES, LLC · KENNESAW, GA
AMERIPRISE FINANCIAL SERVICES, LLC · Kennesaw, GA
TRICORD INVESTMENT ADVISORS, INC. · KENNESAW, GA

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