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DS

Diana M. Siciliano

Some features on this profile are disabled
CRD#: 3070581
DS

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.

Diana M Siciliano, who also goes by Diana Marie Siciliano, Diana Marie Smith, was a registered financial professional .

Diana is a previously registered financial professional and started their career in finance in 1998. Diana had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Diana Marie Siciliano | Diana Marie Smith

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

February 5, 2018 - October 10, 2018

LIBERTY GROUP, LLC

RIA
CRD#: 106036
OAKLAND, CA
Past

February 2, 2018 - January 16, 2019

LIBERTY GROUP, LLC

BD
CRD#: 106036
OAKLAND, CA
Past

June 2, 2011 - June 9, 2015

FIRST BROKERAGE AMERICA, L.L.C.

RIA
CRD#: 43431
NEWPORT BEACH, CA
Past

May 11, 2011 - February 8, 2016

FIRST BROKERAGE AMERICA, L.L.C.

BD
CRD#: 43431
NEWPORT BEACH, CA
Past

May 31, 2010 - May 9, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
BREA, CA
Past

May 17, 2010 - May 9, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
BREA, CA
Past

September 6, 2005 - February 19, 2009

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
BREA, CA
Past

August 3, 2005 - February 19, 2009

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
BREA, CA
Past

June 23, 1999 - July 11, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
IRVINE, CA
Past

November 4, 1998 - July 11, 2005

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

November 4, 1998 - July 11, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

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.

Exams

State Security Law Exam
IAR
Series 65
Date: 6/21/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/3/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/3/1998
General Securities Representative Examination

Current Firm

LG
LIBERTY GROUP, LLC
GELORMINI FINANCIAL | VITA COMPANIES | PARADIGM GROUP | MOORE FINANCIAL ADVICE | LIBERTY WEALTH MANAGEMENT, LLC | LIBERTY GROUP, LLC | KILBY WEALTH STRATEGIES | GRANITE BAY ASSETS

CRD#: 106036 / SEC#: 801-64934, 8-52994

BD
Terminated by SEC on 11/17/2020
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Contact information

Main Address
411 30th St 2nd Floor, Oakland, CA 94609
Mailing Address
Phone number
Established
California since 03/11/1999
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

FORM ADV PART II (7/16/2018)

Direct owners and executive officers

NamePositionCRD#
HOLLANDER, DAVID JAMESCHAIRMAN/FOUNDER/OWNER2493724
BROWN, SCOTTCFO/FINOP6694802
KAI, TONY CHUN-KEUNGCHIEF COMPLIANCE OFFICER5124122

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.

Company Information

LIBERTY GROUP, LLC

CRD#: 106036

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