Dianna L. Gallo

EMPOWER ADVISORY GROUP

New Port Richey, FL

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CRD#: 3173453

Professional summary

Dianna Lynn Gallo, who also goes by Dianna Gallo Hogston, Dianna Lynn Winkler, Dianna L Winkler, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in New Port Richey, Florida and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.

Dianna is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Dianna has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dianna Gallo Hogston | Dianna Lynn Winkler | Dianna L Winkler

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.

*593941 - DLG Enterprises, LLC; Investment related -Yes; New Port Richey, Florida; Real Estate; Member (proprietor, partner, officer, director, employee, trustee, agent); 06/2024; During business hours: 0; After business hours: 15; Passive real estate investing

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dianna Lynn Gallo'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®

None

Experience

Current

November 5, 2024 - Present

EMPOWER ADVISORY GROUP, LLC

RIA

CRD#: 112058

New Port Richey, FL

Current

October 3, 2024 - Present

EMPOWER FINANCIAL SERVICES, INC.

Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111

CRD#: 13109

Greenwood Village, CO

Past

September 5, 2023 - September 20, 2024

MORGAN STANLEY

RIA

CRD#: 149777

Tampa, FL

Past

January 10, 2023 - September 20, 2024

MORGAN STANLEY

CRD#: 149777

Tampa, FL

Past

May 1, 2020 - September 5, 2023

HARRISDIRECT LLC

RIA

CRD#: 42159

TEMPLE TERRACE, FL

Past

April 30, 2020 - September 5, 2023

E*TRADE SECURITIES LLC

CRD#: 29106

Temple Terrace, FL

Past

December 13, 2018 - April 28, 2020

FACET

RIA

CRD#: 285961

New Port Richey, FL

Past

November 2, 2007 - October 15, 2018

T. ROWE PRICE ADVISORY SERVICES, INC.

RIA

CRD#: 108958

TAMPA, FL

Past

November 1, 2007 - October 15, 2018

T. ROWE PRICE INVESTMENT SERVICES, INC.

CRD#: 8348

TAMPA, FL

Past

January 18, 2005 - October 31, 2007

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

TAMPA, FL

Past

January 7, 2005 - October 31, 2007

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

HOUSTON, TX

Past

September 24, 2002 - January 18, 2005

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

PORT RICHEY, FL

Past

May 10, 2002 - January 18, 2005

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

February 16, 2002 - March 5, 2002

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

ATLANTA, GA

Past

April 19, 1999 - February 16, 2002

THE HUNTINGTON INVESTMENT COMPANY

CRD#: 16986

COLUMBUS, OH

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".

EMPOWER ADVISORY GROUP, LLC

ADVISED ASSETS GROUP INC | EMPOWER ADVISORY GROUP, LLC | ADVISED ASSETS GROUP, LLC

CRD#: 112058 / SEC#: 801-58105

RIA

Registered Investment Advisory firm - (11/22/2000 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

Alabama
(10/3/2024)

Alaska
(10/3/2024)

Arizona
(10/3/2024)

Arkansas
(10/3/2024)

California
(10/3/2024)

Connecticut
(10/3/2024)

Delaware
(10/3/2024)

Florida
(10/3/2024)

IAR

Florida
(11/5/2024)

Georgia
(10/3/2024)

Hawaii
(10/3/2024)

Idaho
(10/3/2024)

Illinois
(10/3/2024)

Indiana
(10/3/2024)

Iowa
(10/3/2024)

Kansas
(10/3/2024)

Kentucky
(10/3/2024)

Maine
(10/3/2024)

Massachusetts
(10/3/2024)

Michigan
(10/3/2024)

Minnesota
(10/3/2024)

Mississippi
(10/3/2024)

Missouri
(10/3/2024)

Montana
(10/3/2024)

Nebraska
(10/3/2024)

Nevada
(10/3/2024)

New Hampshire
(10/3/2024)

New Jersey
(10/3/2024)

New Mexico
(10/3/2024)

New York
(10/3/2024)

North Carolina
(10/3/2024)

North Dakota
(10/3/2024)

Oklahoma
(10/3/2024)

Oregon
(10/3/2024)

Pennsylvania
(10/3/2024)

Rhode Island
(10/3/2024)

South Carolina
(10/3/2024)

South Dakota
(10/3/2024)

Tennessee
(10/3/2024)

Texas
(10/3/2024)

Utah
(10/3/2024)

Vermont
(10/3/2024)

Virginia
(10/3/2024)

Washington
(10/3/2024)

West Virginia
(10/3/2024)

Wisconsin
(10/3/2024)

Wyoming
(10/3/2024)

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

IAR

Series 66

Date: 9/19/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/7/2002

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: 5/9/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/17/1999

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

EMPOWER ADVISORY GROUP, LLC

ADVISED ASSETS GROUP INC | EMPOWER ADVISORY GROUP, LLC | ADVISED ASSETS GROUP, LLC

CRD#: 112058 / SEC#: 801-58105

RIA

Registered Investment Advisory firm - (11/22/2000 Approved)

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Contact information

Main Address

8515 East Orchard Rd 4t2, Greenwood Village, CO 80111

Mailing Address

Phone number

(866) 575-4977

Established

Firm type

Fiscal year end

# of Employees

822

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EMPOWER ADVISORY GROUP PERSONAL STRATEGY(R) WRAP FEE PROGRAM (11/25/2025)

EMPOWER ADVISORY GROUP - ONLINE ADVICE & MANAGED ACCOUNT SERVICE FOR EMPOWER PREMIER IRA (9/22/2025)

EMPOWER ADVISORY GROUP FINANCIAL PLANNING SERVICE (9/19/2025)

EMPOWER PREMIER INVESTMENT ACCOUNT (9/19/2025)

EMPOWER ADVISORY GROUP WRAP FEE PROGRAM BROCHURE FOR EMPOWER MANAGED PORTFOLIOS (9/19/2025)

EMPOWER ADVISORY GROUP - ONLINE ADVICE & PROFESSIONAL MANAGEMENT PROGRAM (9/19/2025)

EMPOWER ADVISORY GROUP - ONLINE ADVICE & MANAGED ACCOUNT SERVICE/MY TOTAL RETIREMENT (9/19/2025)

Regulatory assets under management

Total Number of Accounts	250,707
AUM (Assets Under Management)	$ 159,120,330,491

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
03/28/2025	Cover Page	Report
11/21/2023	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.

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Firm Stability Insights

Dianna L. Gallo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dianna Lynn Gallo's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMPOWER FINANCIAL SERVICES, INC.

MORGAN STANLEY

MORGAN STANLEY

HARRISDIRECT LLC

E*TRADE SECURITIES LLC

FACET

T. ROWE PRICE ADVISORY SERVICES, INC.

T. ROWE PRICE INVESTMENT SERVICES, INC.

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

TRUIST INVESTMENT SERVICES, INC.

THE HUNTINGTON INVESTMENT COMPANY

Primary Firm SEC Registration

EMPOWER ADVISORY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/19/2002

Series 63

Date: 6/7/2002

SIE

Date: 10/1/2018

Series 7

Date: 5/9/2002

Series 6

Date: 4/17/1999

FINRA

Current Firm

EMPOWER ADVISORY GROUP, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

EMPOWER ADVISORY GROUP, LLC

TRUST BUT VERIFY

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