DD
Diana L. Defrate
VICUS CAPITAL
White Plains, NY 10606
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CRD#: 4522566
DD
Professional summary
Diana L Defrate, CFP®, CLU® is a registered financial advisor currently at VICUS CAPITAL, INC. located in White Plains, New York and CETERA WEALTH SERVICES, LLC located in White Plains, New York.
Diana is registered as an IAR (Investment Advisor Representative) and RR (Registered 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.
(1) FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, FIXED INSURANCE, START 04/2001, 4HRS/WK (TRADING HOURS), INSURANCE AGENT - SELLS LIFE, ANNUITIES, AND LONG-TERM CARE; (2) VICUS CAPITAL, INC., INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, OUTSIDE RIA - ADVISORY BUSINESS, START 04/2001, 40HRS/WK (32.5 TRADING HOURS), INVESTMENT ADVISOR REPRESENTATIVE; (3) DEFRATE & PAAVOLA, LLC, INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, DBA NAME FOR FINANCIAL SERVICES, START 10/01/2013, 40HRS/WK (32.5 TRADING HOURS), OWNER, CEO; (4) NAME OF OTHER BUSINESS: N/A INVESTMENT RELATED: NO ADDRESS: 1321 ORXHARD AVE, NAPA CA 94558 ; NATURE OF BUSINESS: RENTAL PROPERTY ; START DATE: 02/2021 ; POSITION/TITLE/RELATIONSHIP: OWNER ; APX NUMBER OF HOURS PER WEEK: 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1 ; BRIEF DESCRIPTION OF DUTIES: RENTAL INCOME FROM SECONDARY HOME ; (5) NAME OF OTHER BUSINESS: DEFRATE & PAAVOLA LLC DBA/ALTA WEALTH PARTNERS, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 01/2025, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Diana L Defrate'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®
CFP®
Start date: 2006
Experience
Current
November 15, 2005 - Present
VICUS CAPITAL, INC.
Office #1: 50 Main Street, Suite 1000, #1013, White Plains, NY 10606RIA
CRD#: 116021
White Plains, NY
Current
September 3, 2013 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 50 Main Street, Suite 1000, #1013, White Plains, NY 10606BD
CRD#: 13572
White Plains, NY
Past
April 10, 2002 - September 3, 2013
WALNUT STREET SECURITIES, INC.
BD
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".
VC
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.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
Arizona(9/3/2013)
RR
California(9/3/2013)
RR
Colorado(9/3/2013)
RR
Connecticut(9/3/2013)
RR
Florida(9/3/2013)
RR
Georgia(4/23/2024)
RR
Maryland(4/24/2015)
RR
Michigan(11/14/2024)
RR
New Jersey(9/3/2013)
RR
New York(9/3/2013)
IAR
New York(4/7/2021)
RR
North Carolina(8/28/2018)
RR
Pennsylvania(9/3/2013)
RR
Rhode Island(9/3/2013)
RR
South Carolina(7/10/2024)
IAR
Texas(10/26/2021)
RR
Vermont(9/3/2013)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VC
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)Upgrade to AdvisorCheck Premium
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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
89
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 9,058 |
| AUM (Assets Under Management) | $ 2,574,468,218 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
