Diana L. Keary
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 Lahger Keary, who also goes by Diana Keary, Diana E Lahger, Diana Ellen Lahger, was a registered financial professional .
Diana is a previously registered financial professional and started their career in finance in 1991. Diana had worked at 14 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 24, 2023 - March 6, 2026
APOLLO GLOBAL SECURITIES, LLC
December 2, 2016 - March 6, 2026
GRIFFIN CAPITAL SECURITIES, LLC
January 11, 2016 - November 9, 2016
SII INVESTMENTS, INC.
January 11, 2016 - November 9, 2016
INVESTMENT CENTERS OF AMERICA, INC.
January 11, 2016 - November 9, 2016
INVEST FINANCIAL CORPORATION
December 12, 2012 - November 9, 2016
NATIONAL PLANNING CORPORATION
January 10, 2012 - July 18, 2012
REALTY CAPITAL SECURITIES, LLC
February 2, 2011 - December 21, 2011
GRUBB & ELLIS CAPITAL CORPORATION
January 20, 2011 - August 9, 2011
GRUBB & ELLIS SECURITIES, INC.
January 23, 2006 - January 10, 2011
EQUITABLE DISTRIBUTORS, LLC
March 30, 2004 - January 26, 2006
PRINCIPAL FUNDS DISTRIBUTOR, INC.
February 16, 2001 - November 11, 2002
METLIFE INVESTORS DISTRIBUTION COMPANY
January 9, 1998 - January 23, 2001
EQUITABLE DISTRIBUTORS, LLC
May 3, 1994 - August 21, 1997
FSC SECURITIES CORPORATION
September 25, 1991 - April 22, 1994
KEMPER FINANCIAL SERVICES, 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
Current Firm
APOLLO GLOBAL SECURITIES, LLC
CRD#: 153502 / SEC#: , 8-68542
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| APOLLO GLOBAL SECURITIES INTERMEDIATE, L.P. | SOLE MEMBER | |
| CHATTERJEE, WHITNEY A | MEMBER BOARD OFMANAGERS | 7874808 |
| DRESCHER, STEPHANIE | HEAD OF MARKETING | 3055145 |
| LEVY, YAEL KENAN | CHIEF COMPLIANCE OFFICER | 4435788 |
| NEEDLEMAN, ERIC DAVID | PRESIDENT | 2773431 |
| TREBING, ADAM P | MEMBER BOARD OF MANAGERS | 5828238 |
| TREBING, ADAM P | CFO / FINOP / PFO / POO | 5828238 |
Red Flags
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