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Diane Fisher
42 Years of Experience
West Hartford, CT
3 DisclosuresBroker
Diane Fisher is a registered investment advisor at Raymond James & Associates, INC., based in West Hartford, CT, with 42 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B
Fee Structure
Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
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Location
29 South Main Street, Suite 210, West Hartford, CT, 06107
Get directionsHistory
Regulatory History (3)
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Customer Dispute
November 2018Closed-No Action
Customer Dispute
September 2011Denied
Customer Dispute
February 2009Denied
Employment History
Current Registrations
Raymond James & Associates, INC.Broker
May 2015 - Present · 11 yrs
Raymond James & Associates, INC.
May 2015 - Present · 11 yrs
Previous Registrations
Wells Fargo Advisors, LLCBroker
January 2008 - May 2015 · 7 yrs 4 mos
Wells Fargo Advisors, LLC
January 2008 - May 2015 · 7 yrs 4 mos
A. G. Edwards & Sons, INC.
June 2005 - January 2008 · 2 yrs 7 mos
A. G. Edwards & Sons, INC.Broker
February 1996 - January 2008 · 11 yrs 11 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
January 1995 - March 1996 · 1 yr 2 mos
A. G. Edwards & Sons, INC.Broker
August 1988 - January 1995 · 6 yrs 5 mos
Advest, INC.Broker
May 1983 - August 1988 · 5 yrs 3 mos
State Registrations21 states
AKAZCACTDCFLGAMAMDMENCNHNJNMNYOHORPASCTNVT
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.