Diane M. Klimek

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CRD#: 4280900

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.

Diane M Klimek, who also goes by Diane Marie Hoobyar, Diane Marie Pacini, was a registered financial professional .

Diane is a previously registered financial professional and started their career in finance in 2001. Diane had worked at 10 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Diane Marie Hoobyar | Diane Marie Pacini

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)

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

April 19, 2017 - April 13, 2023

SAGE PRIVATE WEALTH GROUP, LLC

RIA

CRD#: 173399

OAKBROOK TERRACE, IL

Past

March 28, 2017 - October 5, 2020

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

OAKBROOK, IL

Past

March 27, 2017 - October 5, 2020

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

OAKBROOK TERRACE, IL

Past

October 1, 2012 - May 20, 2015

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

NEW LENOX, IL

Past

October 1, 2012 - May 20, 2015

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW LENOX, IL

Past

June 8, 2010 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

OLYMPIA FIELDS, IL

Past

April 9, 2010 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

OLYMPIA FIELDS, IL

Past

November 15, 2005 - April 30, 2009

ZACKS INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 110897

CHICAGO, IL

Past

September 19, 2002 - March 22, 2005

CALAMOS ADVISORS LLC

RIA

CRD#: 105758

NAPERVILLE, IL

Past

September 19, 2002 - March 22, 2005

CALAMOS FINANCIAL SERVICES LLC

CRD#: 19850

NAPERVILLE, IL

Past

May 9, 2001 - October 1, 2002

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

WILLOWBROOK, IL

Past

April 9, 2001 - October 1, 2002

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

February 27, 2001 - April 5, 2001

PEB FINANCIAL GROUP, INC.

CRD#: 7708

CHICAGO, IL

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".

SAGE PRIVATE WEALTH GROUP, LLC

CRD#: 173399 / SEC#: 801-119804

RIA

Registered Investment Advisory firm - (11/16/2020 Approved)

Illinois

Registered Investment Advisory firm - (3/22/2021 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: 6/16/2010

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/7/2010

General Securities Representative Examination

Current Firm

SAGE PRIVATE WEALTH GROUP, LLC

CRD#: 173399 / SEC#: 801-119804

RIA

Registered Investment Advisory firm - (11/16/2020 Approved)

Illinois

Registered Investment Advisory firm - (3/22/2021 Terminated)

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Contact information

Main Address

18w140 Butterfield Road, Suite 1160, Oakbrook Terrace, IL 60181

Mailing Address

Phone number

(630) 933-0000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SAGE PRIVATE WEALTH FIRM BROCHURE 12-19-2025 (12/19/2025)

Regulatory assets under management

Total Number of Accounts	1,143
AUM (Assets Under Management)	$ 395,169,712

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 M. Klimek

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

ZACKS INVESTMENT MANAGEMENT, INC.

CALAMOS ADVISORS LLC

CALAMOS FINANCIAL SERVICES LLC

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

PEB FINANCIAL GROUP, INC.

Primary Firm SEC Registration

SAGE PRIVATE WEALTH GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/16/2010

SIE

Date: 10/1/2018

Series 7

Date: 6/7/2010

Current Firm

SAGE PRIVATE WEALTH GROUP, LLC

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SAGE PRIVATE WEALTH GROUP, LLC

TRUST BUT VERIFY

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