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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

DIANE NOMURA ENDO

Advisor at UBS FINANCIAL SERVICES INC.

Oakland, CA | SAN FRANCISCO, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:43 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jul 8, 1997 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: UBS FINANCIAL SERVICES INC.
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: Jul 8, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 15derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Feb 26, 2008
First registration: Jul 8, 1997
Dual registered: yes, broker-dealer
Other names: DIANE KAZUMI NOMURA
IAPD individual key: 1259791

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
UBS FINANCIAL SERVICES INC.	Wirehouse	Mar 21, 2011	n/a	yes	SAN FRANCISCO, CA\|Oakland, CA	Current employment
STERNE AGEE ASSET MANAGEMENT, INC.	Former SEC adviser	Feb 11, 2011	Mar 24, 2011	no	SAN FRANCISCO, CA	Previous registration
NOLLENBERGER CAPITAL PARTNERS INC.	n/a	Nov 30, 2007	Feb 12, 2011	no	SAN FRANCISCO, CA	Previous registration
A. G. EDWARDS & SONS, INC.	n/a	Jul 8, 1997	Dec 5, 2007	no	SAN FRANCISCO, CA\|SAN FRANCISCO, CA	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
STERNE AGEE ASSET MANAGEMENT, INC.	UBS FINANCIAL SERVICES INC.	Mar 24, 2011	Mar 21, 2011	-3	Firm change	Other
NOLLENBERGER CAPITAL PARTNERS INC.	STERNE AGEE ASSET MANAGEMENT, INC.	Feb 12, 2011	Feb 11, 2011	-1	Firm change	Other
A. G. EDWARDS & SONS, INC.	NOLLENBERGER CAPITAL PARTNERS INC.	Dec 5, 2007	Nov 30, 2007	-5	Firm change	Other

Relationships

Registered with (4)

→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: current employment
Mar 21, 2011 to presentfactForm ADV
→ STERNE AGEE ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Feb 11, 2011 to Mar 24, 2011factForm ADV
→ NOLLENBERGER CAPITAL PARTNERS INC.Registered adviserregistration: previous registration
Nov 30, 2007 to Feb 12, 2011factForm ADV
→ A. G. EDWARDS & SONS, INC.Registered adviserregistration: previous registration
Jul 8, 1997 to Dec 5, 2007factForm ADV

Dated events

No dated event names this entity yet.