Title: Vice President, Private Client Division
Company: Thomas Wiesel Partners LLC
Location: San Francisco, CA, United States
SAN FRANCISCO, CA, September 24, 2012, Diana Dorn, Vice President of the Private Client Division of Thomas Weisel Partners LLC, has been recognized by Elite American Executives for dedication, achievements, and leadership in finance.
At the helm of the private client division of a renowned wealth management company, Ms. Dorn makes the most of her refined proficiencies in the areas of corporate compliance and branch management, as she is primarily responsible for overseeing and supervising the sales practices of the firm’s financial advisers and wealth managers. With more than 36 years of professional experience under her belt, Ms. Dorn, an award-winning financial professional, lends her expertise to the wealth management field that she has served for the past two years and continuously strives for excellence in her endeavors.
Ms. Dorn became involved in her profession because she started working in the financial services industry in a part-time position during college and quickly came to love the field. Its variety and constantly changing opportunities really appealed to her, leading her to attain the NASD FINRA series certifications to progress in the finance business. She has served as a business operations manager and regional operations trainer at Smith Barney, as a branch operations manager at Prudential-Bache, and as vice president and branch manager at Charles Schwab Co., Inc. She has also served as vice president of brokerage compliance at Wells Fargo Securities, Inc., as vice president of operations at Mr. Stock Inc., as senior vice president and chief compliance officer of Round Hill Securities, Inc., as vice president of advertising compliance and registration services at LPL Financial, and as a compliance consultant at LWI Financial.
Ms. Dorn is a recipient of the lauded Charles Schwab & Co., Inc. Excellence in Service Award, and she has also received the Outstanding Customer Service of the Year Award from Round Hill Securities, Inc. Ever diverse and varied in her skill set, Ms. Dorn has completed coursework in music and art at Northwest University, and she has also completed the Series 4, 7, 8, 24, 53, 63, and 65 examinations through the National Association of Securities Dealers. Ms. Dorn feels that she has been able to thrive professionally because she found the right mentor who was able to guide her when she started out in the industry; she also credits having a passion for the work she does to her success.
Ms. Dorn was originally selected for inclusion in EliteAMERICAN Executives in September 2012. We are proud to be featuring Ms. Dorn again in EliteAMERICAN Executives for 2013/2014.
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