Unclaimed Profile

Dianne Brand

THE FINANCIAL ADVISORS, LLC·ANDOVER, Massachusetts

SIE, Series 7, Series 66Clean record13 years registeredTHE FINANCIAL ADVISORS, LLC

26 ESSEX STREET, ANDOVER, MA 01810CRD# 6143829Firm CRD# 146680

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Dianne Brand · ANDOVER, MA

Registration

CRD #6143829 · THE FINANCIAL ADVISORS, LLC · 13 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: THE FINANCIAL ADVISORS, LLC

THE FINANCIAL ADVISORS, LLC

Oct 2014 – Dec 2024

ANDOVER, MA

LINCOLN FINANCIAL SECURITIES CORPORATION

Sep 2013 – Oct 2013

ANDOVER, MA

LPL FINANCIAL LLC

Feb 2013 – May 2013

NEWBURYPORT, MA

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 66

Registration record

First registered · February 19, 2013

Years registered · 13

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

THE FINANCIAL ADVISORS, LLC

CRD 146680 · SEC 801-68921

AUM

$981M

Regulatory assets under management

Employees

2,185 client accounts

Services offered by THE FINANCIAL ADVISORS, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Publication of periodicals/newsletters

Other

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at THE FINANCIAL ADVISORS, LLC →

Introduction

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Frequently Asked Questions

What services does Dianne Brand offer?

Dianne Brand specializes in Financial Planning, Investment Management.

What are Dianne Brand's credentials?

Dianne Brand is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Dianne Brand located?

Dianne Brand is based in ANDOVER, Massachusetts, last registered with THE FINANCIAL ADVISORS, LLC.

How does Dianne Brand charge for services?

Dianne Brand's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is THE FINANCIAL ADVISORS, LLC?

THE FINANCIAL ADVISORS, LLC has approximately 13 employees and manages $981M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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