Diana J. Lippa

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CRD#: 3265350

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 Janine Lippa, who also goes by Diana Janine Suchodolski, was a registered financial professional .

Diana is a previously registered financial professional and started their career in finance in 2001. Diana had worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Diana Janine Suchodolski

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) NOVEM GROUP, INVESTMENT-RELATED, INVESTMENT ADVISER REPRESENTATIVE, START DATE 6/2012, 80 HRS/MO DURING MARKET HRS 2) AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC., INVESTMENT-RELATED, REGISTERED REPRESENTATIVE, START DATE 7/2008, 80 HRS/MO DURING MARKET HRS 3) INSURANCE AGENT, NOT INVESTMENT-RELATED, 5-10 HRS/MO DURING MARKET HRS

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

June 5, 2012 - July 25, 2022

NOVEM GROUP

RIA

CRD#: 158964

ROCHESTER, NY

Past

November 4, 2008 - January 18, 2013

AMERICAN PORTFOLIOS ADVISORS, INC

RIA

CRD#: 112697

HOLBROOK, NY

Past

September 3, 2008 - July 25, 2022

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

ROCHESTER, NY

Past

May 1, 2008 - August 1, 2008

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

January 25, 2007 - October 16, 2007

AMERICAN PORTFOLIOS ADVISORS, INC

RIA

CRD#: 112697

HOLBROOK, NY

Past

March 20, 2002 - October 16, 2007

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

ROCHESTER, NY

Past

March 22, 2001 - January 7, 2002

E*TRADE SECURITIES LLC

CRD#: 29106

JERSEY CITY, NJ

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".

NOVEM GROUP

AMERICAN ADVISORY GROUP | NOVEM GROUP | APFS WEALTH MANAGEMENT, INC. | APFS WEALTH MANAGEMENT, INC

CRD#: 158964 / SEC#: 801-72741

RIA

Registered Investment Advisory firm - (9/22/2011 Approved)

Georgia

Registered Investment Advisory firm - (10/28/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/29/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/7/2001

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: 3/21/2001

General Securities Representative Examination

Current Firm

NOVEM GROUP

AMERICAN ADVISORY GROUP | NOVEM GROUP | APFS WEALTH MANAGEMENT, INC. | APFS WEALTH MANAGEMENT, INC

CRD#: 158964 / SEC#: 801-72741

RIA

Registered Investment Advisory firm - (9/22/2011 Approved)

Georgia

Registered Investment Advisory firm - (10/28/2014 Terminated)

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Contact information

Main Address

350 Linden Oaks Suite 140, Rochester, NY 14625

Mailing Address

Phone number

(585) 348-9525

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (32 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2B - HERENDEEN (3/24/2025)

ADV PART 2B - MURRAY (3/24/2025)

ADV PART 2B - BARTOLOTTA (3/24/2025)

ADV PART 2B - RACO (3/24/2025)

ADV PART 2B - ROEHRIG (3/24/2025)

ADV PART 2B - MANUEL (3/24/2025)

ADV PART 2B - ESTEVES (3/24/2025)

ADV PART 2B - MORGAN (3/24/2025)

ADV PART 2B - UGONE JAMES (3/24/2025)

ADV PART 2B - TOWER (3/24/2025)

ADV PART 2B - SIMONETTI (3/24/2025)

ADV PART 2B - DEAL (3/24/2025)

ADV PART 2B - BURKE (3/24/2025)

ADV PART 2B - PALUMBOS (3/24/2025)

ADV PART 2B - GERLACH (3/24/2025)

ADV PART 2B - LEAR (3/24/2025)

ADV PART 2B - GENTILE (3/24/2025)

ADV PART 2B - SPRINGER (3/24/2025)

ADV PART 2B - ALTIERI (3/24/2025)

ADV PART 2B - FROEHLICH (3/24/2025)

ADV PART 2B - GATTI (3/24/2025)

ADV PART 2B - WAGNER (3/24/2025)

ADV PART 2B - GIANCURSIO (3/24/2025)

ADV PART 2B - ALBRECHT (3/24/2025)

ADV PART 2B - REINERTSON (3/24/2025)

ADV PART 2B - TAYLOR (3/24/2025)

ADV PART 2B - UGONE GAVIN (3/24/2025)

ADV PART 2A (3/24/2025)

Regulatory assets under management

Total Number of Accounts	5,074
AUM (Assets Under Management)	$ 1,413,641,568

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

Diana J. Lippa

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AMERICAN PORTFOLIOS ADVISORS, INC

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

GOLDMAN SACHS & CO. LLC

AMERICAN PORTFOLIOS ADVISORS, INC

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

E*TRADE SECURITIES LLC

Primary Firm SEC Registration

NOVEM GROUP

State Registrations and Notice Filings

Exams

Series 66

Date: 1/29/2005

Series 63

Date: 5/7/2001

SIE

Date: 10/1/2018

Series 7

Date: 3/21/2001

Current Firm

NOVEM GROUP

Contact information

SEC notice filing (32 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NOVEM GROUP

TRUST BUT VERIFY

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