DM
DM

Diane Mcgovern

34 Years of Experience
Chicago, IL
Broker

Diane Mcgovern is a registered investment advisor at Raymond James & Associates, INC., based in Chicago, IL, with 34 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

120 S Riverside Plaza, Suite 700, Chicago, IL, 60606

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Employment History
Current Registrations
Raymond James & Associates, INC.
February 2006 - Present · 20 yrs 3 mos
Raymond James & Associates, INC.
February 2006 - Present · 20 yrs 3 mos
Raymond James & Associates, INC.Broker
February 2006 - Present · 20 yrs 3 mos
Previous Registrations
Morgan Stanley
November 2004 - February 2006 · 1 yr 3 mos
Morgan Stanley Dw INC.Broker
October 1994 - February 2006 · 11 yrs 4 mos
Principal Financial Securities,inc.Broker
September 1994 - October 1994 · 1 mo
Hamilton Investments, INC.Broker
September 1991 - September 1994 · 3 yrs
State Registrations6 states
COFLILNYTXWI
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.