# Diane Finch

Diane Finch is an investment adviser representative (IAR) with state registration records since 2004, appearing at 6 firms. Currently registered with MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED.

## Registration history (7)

| Firm | From | To | Current |
| --- | --- | --- | --- |
| [MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED](https://search.stillhousedata.com/firm/7691) | 2024-09-09 | present | Yes |
| [CITIGROUP GLOBAL MARKETS INC.](https://search.stillhousedata.com/firm/7059) | 2023-09-08 | 2024-08-22 | — |
| [MORGAN STANLEY SMITH BARNEY LLC](https://search.stillhousedata.com/firm/149777) | 2022-05-18 | 2023-07-12 | — |
| [MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED](https://search.stillhousedata.com/firm/7691) | 2017-09-21 | 2022-04-04 | — |
| [PRUCO SECURITIES, LLC](https://search.stillhousedata.com/firm/5685) | 2014-10-21 | 2016-01-05 | — |
| [NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC](https://search.stillhousedata.com/firm/2881) | 2011-10-13 | 2013-01-02 | — |
| [PARK AVENUE SECURITIES LLC](https://search.stillhousedata.com/firm/46173) | 2004-02-03 | 2011-09-21 | — |

## More

- [This representative on SEC IAPD (source of record)](https://adviserinfo.sec.gov/individual/summary/2759338)
- [This page as markdown (for LLM agents)](https://search.stillhousedata.com/rep/2759338.md)
- [Search all SEC filings, advisers and people on Adviser Search](https://search.stillhousedata.com/)

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Source: public SEC filing data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.