Diana M. Perlman
Professional summary
Diana Marie Perlman, who also goes by Diana M Barsky, Diana Marie Barsky, Diana M Perlman, is a registered financial professional currently at VP DISTRIBUTORS LLC located in Hartford, Connecticut.
Diana is registered as a RR (Registered Representative) and started their career in finance in 1994. Diana has worked at 8 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 6, Series 14, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Diana Marie Perlman's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 24, 2023 - Present
VP DISTRIBUTORS LLC
Office #1: One Financial Plaza, Hartford, CT 06103May 1, 2017 - March 23, 2023
STATE STREET GLOBAL MARKETS, LLC
March 29, 2017 - May 1, 2017
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
May 27, 2014 - November 9, 2015
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
April 25, 2013 - April 10, 2014
CITIZENS SECURITIES, INC.
August 19, 2009 - April 11, 2013
MMLISI FINANCIAL ALLIANCES, LLC
September 18, 2003 - April 11, 2013
MML DISTRIBUTORS, LLC
November 8, 1999 - April 11, 2013
MML INVESTORS SERVICES, LLC
December 12, 1994 - July 27, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/24/2023)
(3/24/2023)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
VP DISTRIBUTORS LLC
CRD#: 3036 / SEC#: , 8-14100
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VIRTUS PARTNERS, INC | SOLE MEMBER | |
| BACHRACH, IAN | SENIOR MANAGING DIRECTOR, MARKETING | 2797509 |
| BICKS, MICHAEL WAYNE | MANAGING DIRECTOR, DISTRIBUTION INTELLIGENCE | 5450963 |
| DANOS, CHRISTOPHER ROBERT | MANAGING DIRECTOR, NATIONAL ACCOUNTS | 2716625 |
| FRANCO, THOMAS RICHARD | SENIOR MANAGING DIRECTOR, RETAIL SALES | 2651546 |
| GRISWOLD, HEIDI CHRISTINE | VICE PRESIDENT, FUND SERVICES | 2304631 |
| HANLEY, DAVID GEORGE JR | SENIOR VICE PRESIDENT AND TREASURER | 5455435 |
| KATZ, DAVID JAY | SENIOR MANAGING DIRECTOR, INSTITUTIONAL | 2813039 |
| MACCONE, JOSEPH EDMUND | SENIOR MANAGING DIRECTOR, STRATEGIC DISTRIBUTION | 4273677 |
| MANDINACH, BARRY MITCHELL | EXECUTIVE VICE PRESIDENT | 1234185 |
| MAROSITS, TIFFANY PAIGE | VICE PRESIDENT, SENIOR REGULATORY COUNSEL AND ASSISTANT SECRETARY | 6507868 |
| PERLMAN, DIANA MARIE | CHIEF COMPLIANCE OFFICER | 2555302 |
| PURKALITIS, ANDRA CYNTHIA | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY | 3070864 |
Disclosures
| Regulatory Event | 1 |
| Bond | 3 |
Red Flags
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