Diana L. Cilluffo
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Diana L Cilluffo, who also goes by Diana Cilluffo, was a registered financial professional .
Diana is a previously registered financial professional and started their career in finance in 1986. Diana had worked at 2 firms and has passed the Series 63, SIE, Series 7, Series 14, Series 53, Series 4, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 16, 1993 - July 1, 2016
FAMILY INVESTORS COMPANY
May 28, 1986 - March 11, 1993
DUNHILL SECURITIES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 1/22/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FAMILY INVESTORS COMPANY
CRD#: 1785 / SEC#: , 8-11190
Contact information
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
