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VD

Vincent M. Diana

PACIFIC SELECT DISTRIBUTORS
Omaha, NE 68106
Some features on this profile are disabled
CRD#: 4253222
VD

Professional summary

Vincent M Diana, who also goes by VIncent M Diana, Vincent M. Diana, is a registered financial professional currently at PACIFIC SELECT DISTRIBUTORS, LLC located in Omaha, Nebraska.

Vincent is registered as a RR (Registered Representative) and started their career in finance in 2006. Vincent has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Vincent M Diana | Vincent M. Diana

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.
MAFFE FINANCIAL GROUP,119-C GRISWOLD STREET,SUITE 201,GLASTONBURY,CT 06033,05/2021,ONGOING,INSURANCE,AGENT,DURING TRD/HRS,INV REL,80%* VINCENT DIANA,173 AMOLDALE RD,WEST HARDFORD,CT 06119,05/20/2005,ONGOING,INVESTMENT PROPERTY,LANDLORD, INV REL,NOT DURING TRD/HRS,0%*VM WEALTH PLANNING SOLUTIONS INC,18 MEADOW WOOD DRIVE,SUFFIELD,CT 06078,01/2021,ONGOING,MAINTAIN 401K,PRESIDENT,SOLE PURPOSE OF FUNDING MY 401K,INV REL,DURING TRD/HRS.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Vincent M 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 27, 2024 - Present

PACIFIC SELECT DISTRIBUTORS, LLC

Office #1: 6750 Mercy Road, Omaha, NE 68106
BD
CRD#: 4452
Omaha, NE
Past

September 10, 2021 - December 31, 2022

EQUITY SERVICES, INC.

RIA
CRD#: 265
GLASTONBURY, CT
Past

May 27, 2021 - December 31, 2022

EQUITY SERVICES, INC.

BD
CRD#: 265
GLASTONBURY, CT
Past

March 10, 2021 - May 27, 2021

THE LEADERS GROUP, INC.

BD
CRD#: 37157
SUMMIT, NJ
Past

March 14, 2019 - April 13, 2020

THE LEADERS GROUP, INC.

BD
CRD#: 37157
SUMMIT, NJ
Past

October 29, 2013 - November 26, 2018

COREBRIDGE CAPITAL SERVICES, INC.

BD
CRD#: 13158
JERSEY CITY, NJ
Past

January 19, 2006 - October 28, 2013

METLIFE INVESTORS DISTRIBUTION COMPANY

BD
CRD#: 107622
BLOOMFIELD, CT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
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

RR
Connecticut
(8/27/2024)
RR
Louisiana
(1/7/2025)
RR
Maine
(1/7/2025)
RR
Massachusetts
(1/7/2025)
RR
Michigan
(1/7/2025)
RR
New Hampshire
(1/7/2025)
RR
New Jersey
(1/7/2025)
RR
New York
(1/7/2025)
RR
Ohio
(1/7/2025)
RR
Pennsylvania
(1/7/2025)
RR
Rhode Island
(1/7/2025)
RR
Texas
(1/7/2025)
RR
Vermont
(1/7/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/10/2021
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/31/2006
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 6
Date: 1/18/2006
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PS
PACIFIC SELECT DISTRIBUTORS, LLC
PACIFIC EQUITY SALES COMPANY | PACIFIC SELECT DISTRIBUTORS, LLC | PACIFIC SELECT DISTRIBUTORS, INC. | PACIFIC SECURITIES | PACIFIC MUTUAL DISTRIBUTORS, INC. | PACIFIC MUTUAL DISTRIBURTORS, INC.

CRD#: 4452 / SEC#: , 8-15264

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
700 Newport Center Drive, Newport Beach, CA 92660-6397
Mailing Address
700 Newport Center Drive, Newport Beach, CA 92660-6397
Phone number
(949) 219-6579
Established
Delaware since 01/01/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PACIFIC LIFE INSURANCE COMPANYPARENT OF APPLICANT
DARE, BARBARA ALYCEVICE PRESIDENT5074108
KISSEL, GEOFFREY PCHIEF EXECUTIVE OFFICER7499710
LA ROQUE, SUZANNE MARIEASSISTANT VICE PRESIDENT, CHIEF COMPLIANCE OFFICER4222767
SMITH, TREVOR TIMOTHYVICE PRESIDENT, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATING OFFICER4844953
YAMAUCHI, STARLA CHINVICE PRESIDENT, CORPORATE SECRETARY7721024

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

PACIFIC SELECT DISTRIBUTORS, LLC

CRD#: 4452Omaha, NE 68106

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