Diane S. Castellon
Professional summary
Diane Sharon Castellon, who also goes by Diane Sharon Castellon, Diane Sharon Lucero, Diane Lucero / Woodbury, is a registered financial professional currently at CETERA WEALTH SERVICES, LLC located in El Segundo, California and CETERA ADVISORS LLC located in El Segundo, California.
Diane is registered as a RR (Registered Representative) and started their career in finance in 2006. Diane has worked at 14 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Diane Sharon Castellon's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 5, 2001 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2301 Rosecrans Ave Ste #5100, El Segundo, CA 90245Office #2: 2301 Rosecrans Ave #5100, El Segundo, CA 90245Office #3: 2301 Rosecrans Ave Ste #5100, El Segundo, CA 90245December 12, 2006 - Present
CETERA ADVISORS LLC
Office #1: 2301 Rosecrans Ave Ste #5100, El Segundo, CA 90245Office #2: 2301 Rosecrans Ave Ste #5100, El Segundo, CA 90245Office #3: 2301 Rosecrans Ave #5100, El Segundo, CA 90245August 10, 2012 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245Office #2: 2301 Rosecrans Ave Ste #5100, El Segundo, CA 90245August 22, 2012 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 2301 Rosecrans Ave Ste #5100, El Segundo, CA 90245Office #2: 2301 Rosecrans Ave #5100, El Segundo, CA 90245June 18, 2024 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
December 14, 2016 - December 31, 2016
LEGEND EQUITIES CORPORATION
March 24, 2015 - November 8, 2016
VSR FINANCIAL SERVICES, INC.
March 24, 2015 - November 1, 2017
GIRARD SECURITIES, INC.
November 13, 2014 - November 8, 2016
INVESTORS CAPITAL CORP.
October 29, 2014 - November 10, 2014
REALTY CAPITAL SECURITIES, LLC
October 29, 2014 - December 23, 2015
J.P. TURNER & COMPANY, L.L.C.
October 29, 2014 - December 13, 2016
LEGEND EQUITIES CORPORATION
October 29, 2014 - September 21, 2019
SUMMIT BROKERAGE SERVICES, INC.
October 29, 2014 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
December 12, 2006 - February 1, 2010
VOYA FINANCIAL ADVISORS, 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
(10/28/2002)
Exams
FINRA
Current Firm
CETERA INVESTMENT SERVICES LLC
CRD#: 15340 / SEC#: 801-45573, 8-31826
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| CASEY, SEAN PATRICK | VICE PRESIDENT | 2156290 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HANAU, JENNIFER LEIGH | VICE PRESIDENT | 2898698 |
| HOLWEGER, KIMBERLEY ANN | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| REINHOLZ, CHRISTOPHER JON | VICE PRESIDENT, DIRECTOR OF TRADING | 1961258 |
| RUMMEL, LEANN RENEE | MANAGER, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 1965155 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WEITHAUS, GWENDOLYN | CHIEF COMPLIANCE OFFICER | 2445442 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
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.
