Diane O. Palombo
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.
Diane Olga Palombo, who also goes by Diane Olga Palombo, Diane Olga Telesca, was a registered financial professional .
Diane is a previously registered financial professional and started their career in finance in 1992. Diane had worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 3, 2013 - March 18, 2025
FORESIDE FUND SERVICES, LLC
June 28, 2011 - January 4, 2012
OPPENHEIMER & CO. INC.
April 21, 1999 - October 22, 2001
PRUDENTIAL EQUITY GROUP, LLC
June 29, 1998 - April 21, 1999
UBS SECURITIES LLC
April 20, 1998 - June 29, 1998
SBC WARBURG DILLON READ INC.
January 23, 1998 - April 1, 1998
CITIGROUP GLOBAL MARKETS INC.
April 20, 1995 - January 15, 1998
J.P. MORGAN SECURITIES LLC
August 8, 1994 - April 4, 1995
CREDIT SUISSE SECURITIES (USA) LLC
January 30, 1993 - August 11, 1994
MORGAN STANLEY & CO. LLC
August 24, 1992 - March 11, 1993
HANOVER, STERLING & COMPANY LTD.
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
FORESIDE FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
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.
