Diana Mae Atha

Current Employers

Waterrock Wealth Management

6565 Americas Parkway Ne Ste 200, Albuquerque, NM 87110 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2025-10-17
NM	RA	APPROVED	2023-08-15

CA RA
APPROVED

Since 2025-10-17
NM RA
APPROVED

Since 2023-08-15

Branch Locations

Lincoln, CA • United States

6565 Americas Parkway Ne Ste 200, Albuquerque, NM 87110 • 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

Organization	City	State	From	To
Prien Asset Management	Albuquerque	NM	08/2023	Present
Diana Mae Atha	Albuquerque	NM	01/1984	Present

08/2023 → Present

Prien Asset Management

Albuquerque, NM
01/1984 → Present

Diana Mae Atha

Albuquerque, NM

Previous Registrations

2014-03-16 → 2014-12-16

Onpointe Advisory And Financial Services, Llc

Elizabeth City, NC

Petaluma, CA
2011-04-26 → 2013-08-05

Principal Securities, Inc.

Elizabeth City, NC

Elk Grove, CA
2002-10-23 → 2005-10-26

Eagle Strategies Llc

Elk Grove, CA

Other Businesses

1. 1984 UNTIL PRESENT - INDEPENDENT INSURANCE BROKER. Albuquerque, NM. LIFE, DISABILITY AND LONG-TERM CARE INSURANCE. FIXED AND FIXED EQUITY INDEX ANNUITIES. 120 HOURS SPENT PER MONTH. 2. Network marketing company (anti-aging and wellness). Commissions minimal. Less than $20 per month plus free product.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2011-04-13

S63 Uniform Securities Agent State Law Examination

2011-04-13

Designations

Other Names

Diana Mae Borroel
Diana M Borroel

View on SEC IAPD