Diane L. Lupi
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 Louise Lupi was a registered financial professional .
Diane is a previously registered financial professional and started their career in finance in 1996. Diane had worked at 15 firms and has passed the Series 66, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 14, 2012 - July 9, 2013
HILLTOP SECURITIES INC.
September 29, 2011 - March 23, 2012
CALDWELL INTERNATIONAL SECURITIES
March 2, 2010 - March 10, 2010
PRIME CAPITAL SERVICES, INC.
October 29, 2009 - December 2, 2009
JESUP & LAMONT SECURITIES CORP
October 14, 2009 - December 2, 2009
JESUP & LAMONT SECURITIES CORP
October 21, 2005 - October 2, 2009
INDEPENDENT FINANCIAL GROUP, LLC
November 5, 2004 - October 21, 2005
INDEPENDENT FINANCIAL GROUP, LLC
June 28, 2004 - October 2, 2009
INDEPENDENT FINANCIAL GROUP, LLC
November 8, 2001 - October 16, 2002
SPELMAN & CO., INC.
August 30, 2000 - July 2, 2004
SENTRA SECURITIES CORPORATION
August 3, 2000 - July 2, 2004
SENTRA SECURITIES CORPORATION
March 31, 2000 - August 31, 2000
KOVACK SECURITIES INC.
August 27, 1998 - October 4, 1999
LADENBURG THALMANN & CO. INC.
April 18, 1997 - September 2, 1998
MERIT CAPITAL ASSOCIATES, INC.
April 8, 1997 - April 23, 1997
CITIGROUP GLOBAL MARKETS INC.
December 2, 1996 - March 20, 1997
TUSCANY EQUITY MANAGEMENT CORPORATI0N
November 6, 1996 - December 3, 1996
GKN SECURITIES CORP.
April 19, 1996 - November 12, 1996
BILTMORE SECURITIES, INC.
Primary Firm SEC Registration
HILLTOP SECURITIES INC.
CRD#: 6220 / SEC#: 801-55529, 8-45123
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
HILLTOP SECURITIES INC.
CRD#: 6220 / SEC#: 801-55529, 8-45123
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HILLTOP SECURITIES HOLDINGS, LLC | PARENT | |
| ALEXANDER, LAURA BONNELL | BOARD DIRECTOR | 2900382 |
| BARTOLOTTA, MICHAEL GEORGE | BOARD DIRECTOR | 1620103 |
| COYA, SCOTT ANDREW | CHIEF COMPLIANCE OFFICER | 2511281 |
| EDGE, JOSEPH MICHAEL | CHIEF FINANCIAL OFFICER | 4326551 |
| EDGE, JOSEPH MICHAEL | BOARD DIRECTOR | 4326551 |
| LEVENTHAL, LAURA | BOARD DIRECTOR | 1175259 |
| LEVENTHAL, LAURA | TREASURER/CHIEF ACCOUNTING OFFICER/PRINCIPAL FINANCIAL OFFICER | 1175259 |
| MEDANICH, DAVID KING | BOARD DIRECTOR | 1030727 |
| MUSCHALEK, JOHN RICHARD | BOARD DIRECTOR | 2226859 |
| PINEDA, ROMEO LINSANGAN | PRINCIPAL OPERATIONS OFFICER | 2193669 |
| SOBEL, JONATHAN SCOTT | CHAIRMAN | 1540818 |
| WINGES, MARTIN BRADLEY | CEO/PRESIDENT/DIRECTOR | 1929509 |
| WITTNEBEN, BRIAN LANE | GENERAL COUNSEL/SECRETARY | 4861905 |
Regulatory assets under management
| Total Number of Accounts | 5,181 |
| AUM (Assets Under Management) | $ 2,254,166,069 |
Disclosures
| Regulatory Event | 56 |
| Arbitration | 22 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/21/2025 | ||
| 07/26/2024 | ||
| 07/20/2023 |
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.
