Diane Kay Cassens

CRD 2777135 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Rockford, IL

IA RegisteredBroker

Also appears in the source record as: Diane K Buehler; Diane Kay Buehler; Diane K Cassens; Diane Kay Costello

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): SIESeries 7Series 6Series 66Series 63
Registered states (40): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · District Of Columbia · Florida · Georgia · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Jersey · New Mexico · New York · North Carolina · Ohio · Oregon · Pennsylvania · South Carolina · Tennessee · Texas · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin
Years in the industry (source record): 28
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: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Firm CRD: 7691
SEC number: 801-14235
Assets under management: $1.8T as of Jun 29, 2026
Website: www.merrilledge.com/GUIDED-INVESTING ↗
Phone: 800-637-7455
Firm location: New York, NY, 10036

Employment history (7)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Rockford, IL · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Rockford, IL · BC capacity

start not retrieved → present
Chase Investment Services Corp.
Saginaw, MI · BC capacity

Jul 6, 2005 → Jan 12, 2006
Banc One Securities Corporation
Chicago, IL · BC capacity

Jan 18, 2005 → Jul 6, 2005
Raymond James Financial Services, Inc.
St. Petersburg, FL · BC capacity

Dec 9, 2002 → Sep 30, 2004
Lm Financial Partners, Inc.
New Orleans, LA · BC capacity

May 13, 1998 → Dec 12, 2002
Lasalle St Securities, L.L.C.
Elmhurst, IL · BC capacity

Mar 4, 1997 → Aug 26, 1997

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 2777135 ↗ FINRA BrokerCheck record for CRD 2777135 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: BROKERCHECK. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

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