Diane L. Barriga

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CRD#: 1022433

Professional summary

Diane Louise Barriga was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Diane is a previously registered financial advisor and started their career in finance in 1981. Prior to being barred, Diane had worked at 8 firms, which includes INTERNATIONAL ASSETS ADVISORY LLC, SUMMIT FINANCIAL GROUP INC, SUMMIT BROKERAGE SERVICES INC., OPPENHEIMER & CO. INC., CITIGROUP GLOBAL MARKETS INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, MORGAN STANLEY DW INC., LEHMAN BROTHERS INC..

Question & Answer

Are you a "fiduciary"?

Aliases

Diane Louise Luft Barriga | Diane Luft Barriga

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 26, 2010 - June 17, 2010

INTERNATIONAL ASSETS ADVISORY, LLC

CRD#: 10645

DEERFIELD BEACH, FL

Past

July 3, 2006 - August 20, 2009

SUMMIT FINANCIAL GROUP INC

RIA

CRD#: 109485

BOCA RATON, FL

Past

September 16, 2005 - August 20, 2009

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

BOCA RATON, FL

Past

April 23, 2002 - September 23, 2005

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

August 27, 1996 - April 29, 2002

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

October 22, 1990 - July 31, 1996

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

April 13, 1982 - October 3, 1990

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

December 24, 1981 - April 20, 1982

LEHMAN BROTHERS INC.

CRD#: 7506

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

INTERNATIONAL ASSETS ADVISORY, LLC

INTERNATIONAL ASSETS ADVISORY CORPORATION | JANSEN WEALTH MANAGEMENT, LLC | INTERNATIONAL ASSETS ADVISORY, LLC

CRD#: 10645 / SEC#: 801-119029, 8-27736

RIA

Registered Investment Advisory firm - SEC (7/21/2020 Approved)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/28/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/9/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 8/14/1984

National Commodity Futures Examination

General Industry/Product Exam

Series 5

Date: 5/16/1983

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 12/19/1981

General Securities Representative Examination

Current Firm

INTERNATIONAL ASSETS ADVISORY, LLC

INTERNATIONAL ASSETS ADVISORY CORPORATION | JANSEN WEALTH MANAGEMENT, LLC | INTERNATIONAL ASSETS ADVISORY, LLC

CRD#: 10645 / SEC#: 801-119029, 8-27736

RIA

Registered Investment Advisory firm - SEC (7/21/2020 Approved)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

111 North Orange Avenue Suite 1000, Orlando, FL 32801

Mailing Address

111 North Orange Avenue Suite 1000, Orlando, FL 32801

Phone number

(407) 254-1500

Established

Florida since 07/26/2001

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (1 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

IAA FORM ADV PART 2A 1.30.2025 (1/31/2025)

Direct owners and executive officers

Name	Position	CRD#
PECUNIA MANAGEMENT, LLC	OWNER
COFRANCESCO, EDWARD RICHARD	CEO	2305035
LAMPMAN, MATTHEW EDWARD	PRESIDENT/CHIEF OPERATING OFFICER	6132493
MOORE, ANN KATHERINE	CHIEF BUSINESS DEVELOPMENT OFFICER	5535928
NICHOLSON, MYRA PEARLE	CHIEF LEGAL OFFICER, CHIEF RISK OFFICER	2740029
WEINBERGER, DAVID S	REGISTERED OPTIONS PRINCIPAL / CHIEF FINANCIAL OFFICER / CHIEF REGULATORY OFFICER	2676116
WEISS, RICHARD JAY	CHIEF COMPLIANCE OFFICER, CHIEF AML CCO	2523174

Disclosures

Regulatory Event	8
Arbitration	2

Red Flags

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Diane L. Barriga

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SUMMIT FINANCIAL GROUP INC

SUMMIT BROKERAGE SERVICES, INC.

OPPENHEIMER & CO. INC.

CITIGROUP GLOBAL MARKETS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY DW INC.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

INTERNATIONAL ASSETS ADVISORY, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/28/1994

Series 63

Date: 8/9/1983

Series 3

Date: 8/14/1984

Series 5

Date: 5/16/1983

Series 7

Date: 12/19/1981

Current Firm

INTERNATIONAL ASSETS ADVISORY, LLC

Contact information

SEC notice filing (1 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

INTERNATIONAL ASSETS ADVISORY, LLC

TRUST BUT VERIFY

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