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DD

Denise M. Diana

ENVESTNET RETIREMENT SOLUTIONS
manchester, CT
Some features on this profile are disabled
CRD#: 4147113
DD

Professional summary

Denise Marie Diana, who also goes by Denise Marie Diana Mrs., Denise Marie Pouleson, is a registered financial advisor currently at ENVESTNET RETIREMENT SOLUTIONS, LLC located in Manchester, Connecticut and ENVESTNET PMC located in Manchester, Connecticut.

Denise is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Denise has worked at 8 firms and has passed the Series 66, Series 7 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Denise Marie Diana Mrs. | Denise Marie Pouleson

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) - RIA

Click below to view Denise Marie Diana'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

August 23, 2016 - Present

ENVESTNET RETIREMENT SOLUTIONS, LLC

RIA
CRD#: 171570
manchester, CT
Current

July 20, 2022 - Present

ENVESTNET PMC

RIA
CRD#: 111694
Manchester, CT
Past

January 2, 2013 - August 20, 2014

MML DISTRIBUTORS, LLC

BD
CRD#: 38030
ENFIELD, CT
Past

August 23, 2010 - January 2, 2013

TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.

BD
CRD#: 37819
HARTFORD, CT
Past

March 11, 2010 - July 6, 2010

TRANSAMERICA INVESTORS SECURITIES, LLC

BD
CRD#: 32205
HARRISON, NY
Past

January 5, 2009 - March 5, 2009

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
RICHFIELD, OH
Past

December 24, 2008 - March 5, 2009

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
RICHFIELD, OH
Past

December 6, 2004 - April 30, 2008

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

BD
CRD#: 18353
HARTFORD, CT
Past

January 17, 2001 - December 3, 2004

PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.

RIA
CRD#: 40596
HARTFORD, CT
Past

July 3, 2000 - December 6, 2004

PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.

BD
CRD#: 40596
HARTFORD, CT

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".
EP
ENVESTNET PMC
ENVESTNET ADVISORY CORP. | QRG | ENVESTNETPMC, INC. | ENVESTNET | PMC | ENVESTNET | PLACEMARK | ENVESTNET PMC | ENVESTNET PLACEMARK | ENVESTNET CAPITAL MANAGEMENT | ENVESTNET ASSET MANAGEMENT, INC.

CRD#: 111694 / SEC#: 801-57260

RIA
Registered Investment Advisory firm - (2/10/2000 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.

Highlighted states indicate IAR registrations

IAR
Connecticut
(8/23/2016)
IAR
Illinois
(8/23/2016)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/7/2000
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 6/29/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 12/4/2006
Investment Company Products/Variable Contracts Principal Examination

Current Firm

EP
ENVESTNET PMC
ENVESTNET ADVISORY CORP. | QRG | ENVESTNETPMC, INC. | ENVESTNET | PMC | ENVESTNET | PLACEMARK | ENVESTNET PMC | ENVESTNET PLACEMARK | ENVESTNET CAPITAL MANAGEMENT | ENVESTNET ASSET MANAGEMENT, INC.

CRD#: 111694 / SEC#: 801-57260

RIA
Registered Investment Advisory firm - (2/10/2000 Approved)
PREMIUM
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Contact information

Main Address
222 N. Lasalle St., Suite 625, Chicago, IL 60601
Mailing Address
1000 Chesterbrook Boulevard, Suite 250, Berwyn, PA 19312
Phone number
(312) 827-2800
Established
Firm type
Fiscal year end
# of Employees
394

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ENVESTNET ASSET MANAGEMENT ADV PART 2A (11/19/2025)
ENVESTNET ASSET MANAGEMENT ADV PART 2 APPENDIX 1 (11/19/2025)
ENVESTNET PRIVACY POLICY (3/31/2025)

Regulatory assets under management

Total Number of Accounts2,021,610
AUM (Assets Under Management)$ 532,197,263,852

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

ENVESTNET PMC

CRD#: 111694Manchester, CT

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