Diane Morelli

Some features on this profile are disabled

CRD#: 2406629

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 Morelli, who also goes by Diane Rivizzigno, was a registered financial professional .

Diane is a previously registered financial professional and started their career in finance in 1998. Diane had worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Diane Rivizzigno

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 10, 2005 - December 31, 2020

LESKO SECURITIES INC.

CRD#: 10091

BINGHAMTON, NY

Past

May 3, 2004 - September 3, 2004

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

October 12, 2001 - September 12, 2002

LESKO SECURITIES INC.

CRD#: 10091

VESTAL, NY

Past

December 1, 1998 - June 16, 2000

GLEACHER & COMPANY SECURITIES, INC.

CRD#: 298

NEW YORK, NY

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".

LESKO SECURITIES INC.

LESKO FINANCIAL | NEW DECADE CAPITAL CORP. | LESKO SECURITIES, INC. | LESKO SECURITIES INC. | LESKO SECURITIES INC

CRD#: 10091 / SEC#: 801-110085, 8-26408

RIA

Registered Investment Advisory firm - SEC (3/20/2017 Approved)

New York

Registered Investment Advisory firm - SEC (4/18/2017 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (4/18/2017 Terminated)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

Series 63

Date: 1/26/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/25/1998

General Securities Representative Examination

Current Firm

LESKO SECURITIES INC.

LESKO FINANCIAL | NEW DECADE CAPITAL CORP. | LESKO SECURITIES, INC. | LESKO SECURITIES INC. | LESKO SECURITIES INC

CRD#: 10091 / SEC#: 801-110085, 8-26408

RIA

Registered Investment Advisory firm - SEC (3/20/2017 Approved)

New York

Registered Investment Advisory firm - SEC (4/18/2017 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (4/18/2017 Terminated)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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

400 Plaza Dr Ste A, Vestal, NY 13850

Mailing Address

400 Plaza Dr Suite A, Vestal, NY 13850

Phone number

(607) 724-2421

Established

Delaware since 11/05/1980

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (10 States and Territories)

FINRA licenses (34 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ADV PART 2A WRAP BROCHURE (3/13/2025)

ADV PART 2A (3/13/2025)

Direct owners and executive officers

Name	Position	CRD#
LESKO FINANCIAL SERVICES, INC.	OWNER
HAMPTON, WILLIAM CHARLES	TREASURER	1823025
HARTUNG, ROBERT SCOTT	VICE PRESIDENT	1295142
LALOVIC, NIKOLA	GENERAL SECURITIES PRINCIPAL	6513315
LESKO, GREGORY STEPHEN	GENERAL SECURITIES PRINCIPAL	1175893
LESKO, GREGORY STEPHEN	ROSFP	1175893
LESKO, GREGORY STEPHEN	CEO / CCO	1175893
LESKO, GREGORY STEPHEN	MUNICIPAL SECURITIES PRINCIPAL	1175893
LESKO, GREGORY STEPHEN	PRESIDENT	1175893
PICHURA, RICHARD JAMES	SECRETARY	4065566
STEBBINS, KAREN MARIE	OPERATIONS MANAGER	4152490
STEBBINS, KAREN MARIE	GENERAL SECURITIES PRINCIPAL	4152490
THORNTON, STEVEN LEE	PFO & FINOP	4496384

Regulatory assets under management

Total Number of Accounts	2,313
AUM (Assets Under Management)	$ 597,142,817

Disclosures

Regulatory Event	1
Arbitration	1

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.

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 Morelli

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

LESKO SECURITIES INC.

GLEACHER & COMPANY SECURITIES, INC.

Primary Firm SEC Registration

LESKO SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/26/1999

SIE

Date: 10/1/2018

Series 7

Date: 11/25/1998

Current Firm

LESKO SECURITIES INC.

Contact information

SEC notice filing (10 States and Territories)

FINRA licenses (34 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

LESKO SECURITIES INC.

TRUST BUT VERIFY

Similar Advisors