DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

DIANE CAROL HOLT

Advisor at D.A. DAVIDSON & CO.

MEDFORD, OR

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:6e1ac930-7272-698e-104b-03e510d1ffb8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Sep 27, 2007 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: D.A. DAVIDSON & CO.
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 8, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66|S65|S63
First exam: Feb 8, 2005
First registration: Sep 27, 2007
Dual registered: yes, broker-dealer
Other names: DIANE CAROL LEVENS|DIANE CAROL BETSCHART
IAPD individual key: 4834356

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
D.A. DAVIDSON & CO.	Independent wealth	Oct 14, 2015	n/a	yes	MEDFORD, OR	Current employment
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Jan 2, 2009	Jul 1, 2010	no	ASHLAND, OR	Previous registration
RAYMOND JAMES FINANCIAL SERVICES, INC.	n/a	Oct 2, 2007	Jan 2, 2009	no	ASHLAND, OR\|ASHLAND, OR	Previous registration
HARFST AND ASSOCIATES, INC.	Independent wealth	Sep 27, 2007	Nov 11, 2011	no	ASHLAND, OR	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
HARFST AND ASSOCIATES, INC.	RAYMOND JAMES FINANCIAL SERVICES, INC.	Nov 11, 2011	Oct 2, 2007	-1,501	Firm change after gap	Other
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	D.A. DAVIDSON & CO.	Jul 1, 2010	Oct 14, 2015	1,931	Firm change after gap	Other
RAYMOND JAMES FINANCIAL SERVICES, INC.	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Jan 2, 2009	Jan 2, 2009	0	Bulk transfer	Other

Relationships

Registered with (4)

→ D.A. DAVIDSON & CO.Registered adviserregistration: current employment
Oct 14, 2015 to presentfactForm ADV
→ HARFST AND ASSOCIATES, INC.Registered adviserregistration: previous registration
Sep 27, 2007 to Nov 11, 2011factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
Jan 2, 2009 to Jul 1, 2010factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Oct 2, 2007 to Jan 2, 2009factForm ADV

Dated events

No dated event names this entity yet.