Diane L. Metivier

THE PRIVATE CLIENT ADVISORY GROUP

CINNAMINSON, NJ

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CRD#: 4105692

Professional summary

Diane L Metivier, who also goes by Diane Lee Cole, is a registered financial advisor currently at THE PRIVATE CLIENT ADVISORY GROUP, LLC located in Cinnaminson, New Jersey and LPL FINANCIAL LLC located in Cinnaminson, New Jersey.

Diane is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Diane has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Diane Lee Cole

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. 02/14/2018 - Inspiring Women Financially - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 02/14/2018 - Diane Metivier, Author - Not Investment Related - 608 Camelot Court, Cinnaminson, NJ 08077 - Other - For-Profit Business - Start Date 1/1/14 - 4 Hours Per Month/0 Hours During Securities Trading. 3. 02/14/2018 - No Business Name - Not Investment Related - Riverside, NJ - Real Estate Rental - Co-owner - Start Date 04/2014 - 2 Hours Per Month/0 Hours During Securities Trading. 4. 8/13/2020 - Private Client Advisory Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 8/13/2020 - 40 Hours Per Month/40 Hours During Securities Trading. 5. 07/13/2023 - Ash Brokerage Inc. - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Financial Advisor - Start Date 07/11/2023 - 10 Hours Per Month/ 1 Hour During Trading 6. 10/09/2023 - Melaluca - Other - Health and wellness - Not Investment Related - Home Based - Start Date 08/15/2023 - 1 Hour a Month/ 0 Hours During Trading 7. 01/29/2024 - Lifewave - Other - Health and wellness - Preferred Customer - Not Investment Related - Home Based - Start Date 10/01/2023 - 1 Hour Per Month/ 0 Hours During Trading

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Diane L Metivier's 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

March 18, 2021 - Present

THE PRIVATE CLIENT ADVISORY GROUP, LLC

RIA

CRD#: 311221

CINNAMINSON, NJ

Current

February 14, 2018 - Present

LPL FINANCIAL LLC

RIA

CRD#: 6413

CINNAMINSON, NJ

Past

February 14, 2018 - July 6, 2021

LPL FINANCIAL LLC

RIA

CRD#: 6413

FORT MILL, SC

Past

January 2, 2013 - February 16, 2018

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

CINNAMINSON, NJ

Past

January 2, 2013 - February 14, 2018

INVEST FINANCIAL CORPORATION

CRD#: 12984

CINNAMINSON, NJ

Past

June 10, 2008 - January 16, 2013

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

BEVERLY, NJ

Past

June 9, 2008 - January 16, 2013

CETERA WEALTH SERVICES, LLC

CRD#: 13572

MT LAUREL, NJ

Past

November 8, 2002 - June 6, 2008

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

MARLTON, NJ

Past

October 18, 2002 - June 6, 2008

PRINCIPAL SECURITIES, INC.

CRD#: 1137

MARLTON, NJ

Past

May 14, 2002 - November 8, 2002

1717 CAPITAL MANAGEMENT COMPANY

RIA

CRD#: 4082

MT LAUREL, NJ

Past

February 11, 2000 - November 8, 2002

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

NEWARK, DE

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

Florida
(2/14/2018)

Iowa
(7/29/2025)

New Jersey
(2/14/2018)

IAR

New Jersey
(3/18/2021)

New York
(2/23/2021)

Pennsylvania
(2/14/2018)

IAR

Pennsylvania
(10/17/2025)

South Carolina
(11/11/2024)

Texas
(7/16/2025)

IAR

Texas
(10/17/2025)

Washington
(2/14/2018)

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 65

Date: 1/28/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/4/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 1/24/2000

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

THE PRIVATE CLIENT ADVISORY GROUP, LLC

CRD#: 311221 / SEC#: 801-120118

RIA

Registered Investment Advisory firm - (9/22/2021 Terminated)

Florida

Registered Investment Advisory firm - (9/17/2021 Approved)

Maryland

Registered Investment Advisory firm - (12/31/2024 Terminated)

New Jersey

Registered Investment Advisory firm - (5/14/2021 Approved)

New York

Registered Investment Advisory firm - (6/4/2021 Approved)

Pennsylvania

Registered Investment Advisory firm - (8/17/2021 Approved)

Texas

Registered Investment Advisory firm - (10/17/2025 Conditional Restricted)

Virginia

Registered Investment Advisory firm - (12/31/2024 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).

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Contact information

Main Address

2517 Highway 35 Building L, Suite 100, Manasquan, NJ 08736

Mailing Address

Phone number

(732) 702-2844

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	185
AUM (Assets Under Management)	$ 45,433,932

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

Diane L. Metivier

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Diane L Metivier's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

1717 CAPITAL MANAGEMENT COMPANY

1717 CAPITAL MANAGEMENT COMPANY

State Registrations and Notice Filings

Exams

Series 65

Date: 1/28/2002

Series 63

Date: 1/4/2000

SIE

Date: 10/1/2018

Series 6

Date: 1/24/2000

FINRA

Current Firm

THE PRIVATE CLIENT ADVISORY GROUP, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

THE PRIVATE CLIENT ADVISORY GROUP, LLC

TRUST BUT VERIFY

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