Diane L. Matelsky-lieberman

J. W. COLE ADVISORS

Poughkeepsie, NY

Some features on this profile are disabled

CRD#: 1783521

Professional summary

Diane Louise Matelsky-lieberman, who also goes by Diane L Matelsky Lieberman, Diane Louise Lieberman, Diane Matelsky Lieberman, Diane Lieberman, Diane Louise Matelsky, Diane Louise Matelskylieberman, is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Poughkeepsie, New York and J.W. COLE FINANCIAL, INC. located in Poughkeepsie, New York.

Diane is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Diane has worked at 9 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

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) Valley Investment Planning; DBA; Investment Related; 17 Barnard Ave, Poughkeepsie, NY 12601; Insurance Financial Planning; Financial Advisor; Start 3/14/2025; 5 hours/month, 1 during trading. (2) Life Insurance, Fixed Annuities, Fixed Indexed Annuities; Not investment related; 17 Barnard Ave, Poughkeepsie, NY 12601; Owner; Sales; Start 1/1/2000; 7 hours/month, 7 hours/month during trading. (3) Rental Property; Vacation rental; Not Investment Related; 720 N Waccamaw Drive, Murrells Inlet, SC 29576; Owner; Start 2008; 5 hours/month, 1 hour/month during trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Diane Louise Matelsky-lieberman's CRS (Customer Relationship Summary).

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®

None

Experience

Current

March 14, 2025 - Present

J. W. COLE ADVISORS, INC.

RIA

CRD#: 112294

Poughkeepsie, NY

Current

March 14, 2025 - Present

J.W. COLE FINANCIAL, INC.

CRD#: 124583

Poughkeepsie, NY

Past

June 14, 2024 - March 19, 2025

OSAIC WEALTH, INC.

RIA

CRD#: 23131

POUGHKEEPSIE, NY

Past

June 14, 2024 - March 19, 2025

OSAIC WEALTH, INC.

CRD#: 23131

POUGHKEEPSIE, NY

Past

September 1, 2021 - June 14, 2024

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

POUGHKEEPSIE, NY

Past

September 18, 2020 - June 14, 2024

SECURITIES AMERICA, INC.

CRD#: 10205

POUGHKEEPSIE, NY

Past

June 12, 1997 - September 18, 2020

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

MAHOPAC, NY

Past

April 14, 1997 - June 17, 1997

AMERICAN GENERAL EQUITY SERVICES CORPORATION

CRD#: 5435

HOUSTON, TX

Past

July 27, 1994 - April 9, 1997

JARON EQUITIES CORP.

CRD#: 5764

HICKSVILLE, NY

Past

January 14, 1988 - July 25, 1994

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

EDISON, NJ

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".

J. W. COLE ADVISORS, INC.

CRD#: 112294 / SEC#: 801-60722

RIA

Registered Investment Advisory firm - (11/23/2001 Approved)

Arizona

Registered Investment Advisory firm - (12/4/2001 Terminated)

Florida

Registered Investment Advisory firm - (12/5/2001 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Connecticut
(3/17/2025)

Florida
(3/17/2025)

Maine
(3/17/2025)

Massachusetts
(3/17/2025)

New Jersey
(3/17/2025)

New York
(3/14/2025)

IAR

New York
(3/14/2025)

Pennsylvania
(3/17/2025)

Vermont
(3/17/2025)

Virginia
(3/17/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 1/11/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 1/13/1988

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

J. W. COLE ADVISORS, INC.

CRD#: 112294 / SEC#: 801-60722

RIA

Registered Investment Advisory firm - (11/23/2001 Approved)

Arizona

Registered Investment Advisory firm - (12/4/2001 Terminated)

Florida

Registered Investment Advisory firm - (12/5/2001 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

4301 Anchor Plaza Parkway Suite 450, Tampa, FL 33634

Mailing Address

Phone number

(813) 935-6776

Established

Firm type

Fiscal year end

# of Employees

512

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP FEE PROGRAM (3/28/2025)

JWCA 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	29,614
AUM (Assets Under Management)	$ 7,195,237,282

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.

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Diane L. Matelsky-lieberman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Diane Louise Matelsky-lieberman's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.W. COLE FINANCIAL, INC.

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

SECURITIES SERVICE NETWORK, LLC

AMERICAN GENERAL EQUITY SERVICES CORPORATION

JARON EQUITIES CORP.

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/11/1988

SIE

Date: 10/1/2018

Series 6

Date: 1/13/1988

FINRA

Current Firm

J. W. COLE ADVISORS, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

J. W. COLE ADVISORS, INC.

TRUST BUT VERIFY

Contact information

Similar Advisors