Diane M. Aurelio

TRANSAMERICA RETIREMENT ADVISORS

Bay Terrace, NY

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CRD#: 4554556

Professional summary

Diane Marie Aurelio, CFP® is a registered financial advisor currently at TRANSAMERICA RETIREMENT ADVISORS, LLC located in Bay Terrace, New York and TRANSAMERICA INVESTORS SECURITIES, LLC located in Palm City, Florida.

Diane is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Diane has worked at 11 firms and has passed the Series 66, SIE, Series 31 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 Diane Marie Aurelio'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

Experience

Current

February 3, 2016 - Present

TRANSAMERICA RETIREMENT ADVISORS, LLC

RIA

CRD#: 107319

Bay Terrace, NY

Current

March 28, 2014 - Present

TRANSAMERICA INVESTORS SECURITIES, LLC

CRD#: 32205

Palm City, FL

Past

August 29, 2013 - December 5, 2013

J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC

RIA

CRD#: 124446

SYOSSET, NY

Past

July 9, 2013 - December 5, 2013

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

SYOSSET, NY

Past

May 31, 2011 - August 3, 2011

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

NEW YORK, NY

Past

June 1, 2009 - June 11, 2009

MORGAN STANLEY

CRD#: 149777

HAUPPAUGE, NY

Past

March 24, 2006 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

HAUPPAUGE, NY

Past

February 10, 2006 - February 24, 2006

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

GREAT NECK, NY

Past

December 14, 2004 - February 24, 2006

MORGAN STANLEY DW INC.

CRD#: 7556

GREAT NECK, NY

Past

March 12, 2004 - October 4, 2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEW YORK, NY

Past

March 12, 2004 - October 4, 2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

January 2, 2003 - May 15, 2003

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

January 2, 2003 - May 15, 2003

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

TRANSAMERICA RETIREMENT ADVISORS, LLC

DIVERSIFIED INVESTMENT ADVISORS INC | TRANSAMERICA RETIREMENT ADVISORS, LLC | TRANSAMERICA RETIREMENT ADVISORS, INC. | DIVERSIFIED RETIREMENT CORPORATION | DIVERSIFIED INVESTMENT ADVISORS, INC.

CRD#: 107319 / SEC#: 801-42910

RIA

Registered Investment Advisory firm - (12/16/1992 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.

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

New York
(3/31/2014)

IAR

New York
(11/9/2022)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/19/2003

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 2/13/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 12/20/2002

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

TRANSAMERICA RETIREMENT ADVISORS, LLC

DIVERSIFIED INVESTMENT ADVISORS INC | TRANSAMERICA RETIREMENT ADVISORS, LLC | TRANSAMERICA RETIREMENT ADVISORS, INC. | DIVERSIFIED RETIREMENT CORPORATION | DIVERSIFIED INVESTMENT ADVISORS, INC.

CRD#: 107319 / SEC#: 801-42910

RIA

Registered Investment Advisory firm - (12/16/1992 Approved)

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Contact information

Main Address

6400 C Street Sw, Cedar Rapids, IA 52499

Mailing Address

Phone number

(866) 368-0566

Established

Firm type

Fiscal year end

# of Employees

383

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TRANSAMERICA RETIREMENT ADVISORS, LLC THIRD PARTY MONEY MANAGERS BROCHURES (5/22/2025)

TRANSAMERICA RETIREMENT ADVISORS, LLC TRANSAMERICA PERSONALIZED PORTFOLIOS BROCHURE (2/14/2025)

TRANSAMERICA RETIREMENT ADVISORS, LLC. DEFINED BENEFIT SERVICES BROCHURE (2/14/2025)

TRANSAMERICA RETIREMENT ADVISORS, LLC. MANAGED ADVICE SERVICES BROCHURE (2/14/2025)

Regulatory assets under management

Total Number of Accounts	212,836
AUM (Assets Under Management)	$ 16,157,423,229

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/10/2025	Cover Page	Report
10/25/2024	Cover Page	Report
07/25/2023	Cover Page	Report

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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Diane M. Aurelio

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Diane Marie Aurelio's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRANSAMERICA INVESTORS SECURITIES, LLC

J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC

J.P. TURNER & COMPANY, L.L.C.

CHASE INVESTMENT SERVICES CORP.

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

TRANSAMERICA RETIREMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/19/2003

SIE

Date: 10/1/2018

Series 31

Date: 2/13/2005

Series 7

Date: 12/20/2002

FINRA

Current Firm

TRANSAMERICA RETIREMENT ADVISORS, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

TRANSAMERICA RETIREMENT ADVISORS, LLC

TRUST BUT VERIFY

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