DM
Diahnn R. Murdock
CETERA INVESTMENT ADVISERS LLC
ROCHESTER, MN 55902
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CRD#: 1544408
DM
Professional summary
Diahnn Rene Murdock, who also goes by Diahnn Rene Borowicz, Diahnn Rene Obert, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Rochester, Minnesota and CETERA WEALTH SERVICES, LLC located in Rochester, Minnesota.
Diahnn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Diahnn has worked at 3 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Diahnn Rene Borowicz | Diahnn Rene Obert
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.
1. NAME OF OTHER BUSINESS: MAYO EMPLOYEES FEDERAL CREDIT UNION DBA MAYO EMPLOYEES FEDERAL CREDIT UNION INVESTMENTS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: CREDIT UNION; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL - NOT EMPLOYED BY THE INSTITUTION; START DATE: 03/2023; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 40; BRIEF DESCRIPTION OF DUTIES: FINANCIAL PROFESSIONAL - NOT EMPLOYED BY THE INSTITUTION; 2. NAME OF OTHER BUSINESS: EAGLEBROOK CHURCH; INVESTMENT RELATED: NO; ADDRESS: 1100 W MAIN ST, US-10, ANOKA, MN 55303; NATURE OF BUSINESS: CHURCH; START DATE: 10/2018; POSITION/TITLE/RELATIONSHIP: CASHIER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: SELL COFFEE AND BOOKS TO MEMBERS AND EMPLOYEES; 3. NAME OF OTHER BUSINESS: MAYO EMPLOYEES FEDERAL CREDIT UNION DBA MAYO EMPLOYEES FEDERAL CREDIT UNION INVESTMENTS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 03/2023; POSITION/TITLE/RELATIONSHIP: REGISTERED REPRESENTATIVE; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 40; BRIEF DESCRIPTION OF DUTIES: ACCOUNT MANAGEMENT, TRADING, AND ANY OTHER RELATED ACTIVITIES; 4. NAME OF OTHER BUSINESS: DEEBEE'S PORTFOLIO MANAGEMENT & TRADING SERVICES LLC; INVESTMENT RELATED: YES, ADDRESS: SAME AS RESIDENTIAL LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 6/2023, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Diahnn Rene Murdock's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 130 23rd Ave Sw, Rochester, MN 55902Office #2: 19628 Waterman Ct, Fort Myers, FL 33913RIA
CRD#: 105644
ROCHESTER, MN
Current
March 24, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 130 23rd Ave Sw, Rochester, MN 55902BD
CRD#: 13572
Rochester, MN
Past
May 5, 2023 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
May 29, 2007 - September 23, 2022
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
MINNEAPOLIS, MN
Past
November 25, 1991 - August 23, 2006
PIPER SANDLER & CO.
BD
CRD#: 665
MINNEAPOLIS, MN
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Iowa(3/24/2023)
RR
Minnesota(3/24/2023)
IAR
Minnesota(6/29/2023)
RR
Wisconsin(3/24/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 12/4/1998
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Rochester, MN 55902TRUST BUT VERIFY
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