Diana L. Defrate

VICUS CAPITAL

White Plains, NY 10606

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CRD#: 4522566

Professional summary

Diana L Defrate, CFP®, CLU® is a registered financial advisor currently at VICUS CAPITAL, INC. located in White Plains, New York.

Diana is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Diana has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 Diana L Defrate'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®

CFP^®

Certified Financial Planner

Start date: 2006

CLU^®

Chartered Life Underwriter

Experience

Current

November 15, 2005 - Present

VICUS CAPITAL, INC.

Office #1: 50 Main Street, Suite 1000, #1013, White Plains, NY 10606

RIA

CRD#: 116021

White Plains, NY

Past

September 3, 2013 - December 31, 2025

CETERA WEALTH SERVICES, LLC

CRD#: 13572

White Plains, NY

Past

April 10, 2002 - September 3, 2013

WALNUT STREET SECURITIES, INC.

CRD#: 15840

NEW YORK, NY

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".

VICUS CAPITAL, INC.

PFG FINANCIAL ADVISORS | VICUS CAPITAL, INC. | PFG FINANCIAL ADVISORS NETWORK

CRD#: 116021 / SEC#: 801-60628

RIA

Registered Investment Advisory firm - (10/5/2001 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

New York
(4/7/2021)

IAR

Texas
(10/26/2021)

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: 5/10/2002

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: 4/9/2002

General Securities Representative Examination

Current Firm

VICUS CAPITAL, INC.

PFG FINANCIAL ADVISORS | VICUS CAPITAL, INC. | PFG FINANCIAL ADVISORS NETWORK

CRD#: 116021 / SEC#: 801-60628

RIA

Registered Investment Advisory firm - (10/5/2001 Approved)

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Contact information

Main Address

476 Rolling Ridge Drive Suite 315, State College, PA 16801

Mailing Address

Phone number

(855) 558-4287

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

VICUS CAPITAL ADV PART 2A (3/24/2025)

Regulatory assets under management

Total Number of Accounts	9,058
AUM (Assets Under Management)	$ 2,574,468,218

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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Diana L. Defrate

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Diana L Defrate's CRS (Customer Relationship Summary).

Certified licenses

Experience

VICUS CAPITAL, INC.

CETERA WEALTH SERVICES, LLC

WALNUT STREET SECURITIES, INC.

Primary Firm SEC Registration

VICUS CAPITAL, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 5/10/2002

SIE

Date: 10/1/2018

Series 7

Date: 4/9/2002

Current Firm

VICUS CAPITAL, INC.

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VICUS CAPITAL, INC.

TRUST BUT VERIFY

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