Diane M. Maldonado
Professional summary
Diane Marie Maldonado is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Alpharetta, Georgia and TRUIST INVESTMENT SERVICES, INC. located in Alpharetta, Georgia.
Diane is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Diane has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Diane Marie Maldonado's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 19, 2016 - Present
TRUIST ADVISORY SERVICES, INC.
Office #1: 2520 Northwinds Pkwy Fl 4, Alpharetta, GA 30009March 3, 2006 - Present
TRUIST INVESTMENT SERVICES, INC.
Office #1: 2520 Northwinds Pkwy Fl 4, Alpharetta, GA 30009February 13, 2007 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
March 21, 2005 - September 7, 2005
STATE FARM VP MANAGEMENT CORP.
December 9, 2002 - May 13, 2004
ESSEX NATIONAL SECURITIES, LLC
October 11, 2001 - December 6, 2002
QUICK & REILLY, INC.
March 7, 2000 - December 6, 2000
CITICORP INVESTMENT SERVICES
October 15, 1998 - June 16, 1999
AVANTAX INVESTMENT SERVICES, INC.
January 29, 1993 - October 21, 1996
IDS LIFE INSURANCE COMPANY
January 29, 1993 - October 21, 1996
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/9/2015)
(7/31/2019)
(5/14/2025)
(12/3/2018)
(6/18/2010)
(3/3/2006)
(9/19/2016)
(12/6/2018)
(6/24/2013)
(4/13/2017)
(8/1/2017)
(8/22/2018)
(1/23/2023)
(5/5/2023)
(4/7/2014)
(3/6/2018)
(9/1/2020)
(5/19/2017)
(7/5/2018)
(7/12/2018)
(5/7/2015)
(2/22/2022)
Exams
FINRA
Current Firm
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 124,363 |
| AUM (Assets Under Management) | $ 67,736,740,585 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/24/2025 | ||
| 03/28/2024 | ||
| 04/26/2023 |
Red Flags
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