DIVERSIFIED RESOURCES, LLC of WARWICK, RI is an SEC-registered investment adviser (CRD 31346). Regulatory assets under management: $268.8M.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth.
| Name | Role | Location |
|---|---|---|
| Karen Josephine Bacon | MANAGING MEMBER ,PRINCIPAL AND CCO | — |
| BACON KAREN JOSEPHINE | MANAGING MEMBER ,PRINCIPAL AND CCO; PRINCIPAL AND CCO | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2017-03-10 | regulatory | IN ITS CAPACITY AS A BROKER DEALER (BD), TRANSACTIONS FOR A ME CLIENT EXCEEDED THE DE MINIMIS AND THEREFORE THE BROKER DEALER EFFECTED TRANSACTIONS WHILE UNLICENSED IN THE STATE. | Final | $5K |