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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

DIANA K NYMAN

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILLVILLE, IN

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Search this name across graphsid dfx:ria:73619d71-825a-ee3c-e192-80ea7686cfc6

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Sep 13, 2002 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: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 11, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Sep 11, 2002
First registration: Sep 13, 2002
Dual registered: yes, broker-dealer
Other names: DIANA K NYMAN|DIANA K NYMAN|DIANA K MCMILLON|DIANA KAY MCMILLON
IAPD individual key: 4297342

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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Feb 3, 2023	n/a	yes	MERRILLVILLE, IN	Current employment
WELLS FARGO ADVISORS	Wirehouse	Sep 27, 2010	Feb 9, 2023	no	MERRILLVILLE, IN\|MERRILLVILLE, IN	Previous registration
QUESTAR ASSET MANAGEMENT, INC.	Former SEC adviser	Feb 7, 2005	Nov 10, 2005	no	VALPARAISO, IN	Previous registration
COMPASS FINANCIAL ADVISORS LLC	Independent wealth	Feb 10, 2003	Sep 27, 2010	no	VALPARAISO, IN	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Sep 13, 2002	Nov 12, 2002	no	MERRILLVILLE, IN	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
WELLS FARGO ADVISORS	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Feb 9, 2023	Feb 3, 2023	-6	Firm change	Wirehouse to wirehouse
COMPASS FINANCIAL ADVISORS LLC	QUESTAR ASSET MANAGEMENT, INC.	Sep 27, 2010	Feb 7, 2005	-2,058	Firm change after gap	Other
QUESTAR ASSET MANAGEMENT, INC.	WELLS FARGO ADVISORS	Nov 10, 2005	Sep 27, 2010	1,782	Firm change after gap	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	COMPASS FINANCIAL ADVISORS LLC	Nov 12, 2002	Feb 10, 2003	90	Firm change	Other

Relationships

Registered with (4)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Sep 13, 2002 to Nov 12, 2002factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Sep 27, 2010 to Feb 9, 2023factForm ADV
→ COMPASS FINANCIAL ADVISORS LLCRegistered adviserregistration: previous registration
Feb 10, 2003 to Sep 27, 2010factForm ADV
→ QUESTAR ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Feb 7, 2005 to Nov 10, 2005factForm ADV

Dated events

Occurred
Feb 9, 2023
Advisor changed firm
Diana K Nyman left Wells Fargo Advisors for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2023-02-03)
Form ADVobserved 5 days ago