Diana L. Plucienkowski

CETERA INVESTMENT ADVISERS LLC

COCONUT CREEK, FL 33073

Some features on this profile are disabled

CRD#: 2669520

Professional summary

Diana Lynn Plucienkowski, CFP®, who also goes by Diana Lynn Dane, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Coconut Creek, Florida and CETERA WEALTH SERVICES, LLC located in Coconut Creek, Florida.

Diana is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Diana has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Diana Lynn Dane

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.

(1) DANE FINANCIAL GROUP; SINCE 08/01/2010; SAME AS BRANCH ADDRESS; PRESIDENT; CREATE FINANCIAL PLANS INVESTMENT ADVICE; 160 HOURS SPENT ON ACTIVITY PER MONTH, 8 HOURS SPENT DURING TRADING HOURS (2) BROWARD WOMEN'S ALLIANCE; SINCE 08/01/2015; PO BOX 826631, PEMBROKE PINES, FL, 33082; TREASURER; REPORT SCHOLARSHIP DONATIONS COLLECTED AT MONTHLY MEETINGS; 5 HOURS SPENT ON ACTIVITY PER MONTH, 0 HOURS DURING TRADING HOURS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Diana Lynn Plucienkowski's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1994

Experience

Current

May 15, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 6810 N. State Road 7, Coconut Creek, FL 33073

RIA

CRD#: 105644

COCONUT CREEK, FL

Current

September 20, 2019 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 6810 N. State Road 7, Coconut Creek, FL 33073

CRD#: 13572

Coconut Creek, FL

Past

March 22, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

July 8, 2010 - May 20, 2021

SUMMIT FINANCIAL GROUP INC

RIA

CRD#: 109485

DAVIE, FL

Past

June 18, 2010 - September 20, 2019

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

FT LAUDERDALE, FL

Past

August 31, 2009 - July 22, 2010

NEW CENTURY FINANCIAL GROUP, LLC

RIA

CRD#: 104553

FORT LAUDERDALE, FL

Past

April 27, 2001 - December 7, 2006

OSAIC WEALTH, INC.

RIA

CRD#: 23131

FT. LAUDERDALE, FL

Past

June 24, 1999 - August 27, 2009

MEG GREEN & ASSOCIATES, INC.

RIA

CRD#: 141559

NORTH MIAMI BEACH, FL

Past

November 16, 1995 - June 28, 2010

OSAIC WEALTH, INC.

CRD#: 23131

FT. LAUDERDALE, FL

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(9/20/2019)

Colorado
(9/20/2019)

Florida
(9/21/2019)

IAR

Florida
(5/15/2023)

Minnesota
(9/4/2024)

Missouri
(9/11/2020)

New York
(1/5/2021)

North Carolina
(10/15/2019)

Ohio
(9/20/2019)

South Carolina
(4/6/2021)

Vermont
(1/5/2021)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 12/28/1995

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: 11/14/1995

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Charles Fischer

RAYMOND JAMES & ASSOCIATES, INC.

IAR

Boca Raton, FL

John Fricker

EQUITABLE ADVISORS, LLC

IAR

Ft. Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Diana L. Plucienkowski

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Diana Lynn Plucienkowski's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

SUMMIT FINANCIAL GROUP INC

SUMMIT BROKERAGE SERVICES, INC.

NEW CENTURY FINANCIAL GROUP, LLC

OSAIC WEALTH, INC.

MEG GREEN & ASSOCIATES, INC.

OSAIC WEALTH, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/28/1995

SIE

Date: 10/1/2018

Series 7

Date: 11/14/1995

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

Similar Advisors