Lasting relationships

Understanding what matters most to you

Where are you today and where do you want to be tomorrow? We recognize that a lasting relationship starts by listening and understanding your priorities and concerns. We'll work together to look at the big picture, discuss your vision for the future and help you confidently pursue your life goals.

Boardwalk ocean

Diane M. Galvin, CFP, CIMA

As a financial planner, I have successfully helped individuals and corporate investors with their investment planning needs through numerous market corrections and recessions. I joined UBS in 2012 after 27 years at another major financial services firm. I attribute much of my success to the fact that I have always been fascinated by the inner workings of Wall Street and genuinely enjoy helping my clients succeed in reaching all their financial goals.

I am here to work with you to analyze your individual financial situations and recommend a plan of action to help you meet your short and long term investment goals; I can also help you with education funding, retirement funding, structures for charitable giving and estate planning. I have both my Certified Financial Planner™ (CFP) practitioner and Certified Investments Management Analyst™ (CIMA) certifications. I am also FINRA- registered and hold Series 7, 8 and 63 securities licenses, Series 3 commodities futures license and series 65 Investment adviser license. I am committed to maintaining competence as an advanced investment advisor to benefit my clients by any means necessary.

My bachelor's degree is from Occidental College and I attended Wharton to complete my CIMA certification. In addition to my career I maintain active involvement with in my community. I currently serve as a board member on Children Skills for Life, which is a non-profit assisting children worldwide. I am also past director for the Moorpark Chamber of Commerce, Universal City Chamber of Commerce and past President for the Rotary Club of Moorpark.  In my free time I enjoy swimming and hiking. I currently reside in Moorpark with my daughter.

Personal & Community

  • Board Member, Children Skills for Life
  • Past President, Rotary Club of Moorpark, CA
  • Past Director of Universal City Chamber of Commerce
  • Past Director of Moorpark Chamber of Commerce
Registered States:
  • AL
  • AZ
  • CA
  • CO
  • DC
  • FL
  • GA
  • HI
  • IA
  • IN
  • MA
  • MD
  • NC
  • NM
  • NV
  • NY
  • OR
  • SC
  • TN
  • TX
  • UT
  • VA
  • WA

Education

  • Occidental College
  • Wharton

Credentials

  • CERTIFIED FINANCIAL PLANNER™
  • Certified Investment Management Analyst®

Our advice is comprehensive. We help diverse clients in a broad range of areas, including:

Financial planning
Education planning
Long-term care planning
Retirement planning
Investing
Lending services
Cash management
Your goals are the starting point
3011 Townsgate Road
Suite 300, 3rd Floor
Westlake Village, CA 91361
  • (805) 367-3712

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Pursuing your goals together

Our mission is to provide quality strategies customized to your needs. Our goal is to be your primary source of financial advice. To this end, we concentrate our efforts on developing long-term relationships through a commitment to quality client service.

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    Flora Herrera

    Client Associate

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            3011 Townsgate Road
            Suite 300, 3rd Floor
            Westlake Village, CA 91361

          Defining your priorities. Pursuing what matters.

          Our experience and structured planning process drives a comprehensive financial plan and customized investment strategies. Depending on where you are in your life and the priorities that matter most, our planning conversations may focus on liquidity management, your cash flow needs, asset replacement solutions such as insurance, estate planning strategies, or tax and legal structures such as trusts and philanthropic vehicles.

          The Year Ahead - Sustainable Investing

          Retirement planning

          Retirement planning

          How can you be more certain in an uncertain market?

          Let's put your plan in place, for today, tomorrow and for generations to come

          You don't have to let market volatility get in the way of your long-term goals. Through the plan we create together, we can help you pursue what matters most.

          Backed by the strength of UBS

          A global leader in wealth management

          Global leader

          UBS is a world-leading wealth manager

          #1

          Global Equity Research 

          Institutional Investor, 2021 Global Rankings

          Financial strength

          Driving confidence.
          Aa3 (stable) Moody’s
          A+ (stable) Standard & Poor’s

          UBS AG, long-term senior secured debt rating. As of 11/23/2021

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