Diane Coffman

CRD 2697420 · Fidelity Brokerage Services LLC · Smithfield, RI

IA RegisteredBroker

Also appears in the source record as: Diane Marie Coffman; Diane M Coffman; Diane Marie Hughley

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): Series 66Series 63SIESeries 7
Registered states (52): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 29
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Fidelity Brokerage Services LLC
Firm CRD: 7784
SEC number: Not yet retrieved from the source record
Assets under management: Not yet retrieved from the source record
Website: Not yet retrieved from the source record
Phone: Not yet retrieved from the source record
Firm location: Not yet retrieved from the source record

Employment history (11)

From the source registration record · current first

Strategic Advisers LLCCurrent
Ellenwood, GA · IA capacity

Mar 31, 2025 → present
Fidelity Brokerage Services LLCCurrent
Ellenwood, GA · BD capacity

Dec 1, 2021 → present
Fidelity Brokerage Services LLCCurrent
Smithfield, RI · BC capacity

start not retrieved → present
Fidelity Personal And Workplace Advisors
IA capacity

Dec 9, 2021 → Mar 31, 2025
Bancwest Investment Services, Inc. (Bwis)
IA capacity

Feb 28, 2019 → Oct 12, 2021
Bancwest Investment Services, Inc.
BD capacity

Feb 25, 2019 → Oct 12, 2021
Wells Fargo Clearing Services, LLC
BD capacity

Aug 23, 2018 → Feb 20, 2019
Wells Fargo Clearing Services, LLC
IA capacity

Aug 23, 2018 → Feb 20, 2019
Merrill Lynch, Pierce, Fenner & Smith Incorporated
IA capacity

Aug 24, 2011 → May 2, 2018
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Jun 13, 2011 → May 2, 2018
Charles Schwab & Co., Inc.
BD capacity

Jan 23, 1997 → May 23, 2011

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 2697420 ↗ FINRA BrokerCheck record for CRD 2697420 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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