DH
Diane J. Hart
CETERA INVESTMENT ADVISERS LLC
WALL, NJ 07719
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CRD#: 4884050
DH
Professional summary
Diane J Hart, who also goes by Diane J Hart Mrs., Diane J. Rossi Ms, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Wall, New Jersey and CETERA ADVISORS LLC located in Brick, New Jersey.
Diane is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Diane has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Diane J Hart Mrs. | Diane J. Rossi Ms
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.) HART FINANCIAL SERVICES; SOLE PROPRIETOR; NON-CPA ACCOUNTING AND/OR TAX PREPARATION; START DATE 01/01/1998; 20 HRS. PER MONTH.
2.) LPA STRATEGIC CAPITAL; FINANCIAL ADVISOR; DBA; START DATE 5/1/2013; 160 HOURS PER MONTH
3.) FRIENDS OF BRICK; VOLUNTEER MEMBER; NON-PROFIT ORGANIZATION; START DATE 07/01/2012; 8 HOURS PER MONTH.
4.) Hart Financial Services; Sole Propreitor; Non-CPA Accounting and/or Tax Preparation; start date 01/01/1998; 20 hours per month.
CRS (Client Relationship Summary) - RIA
Click below to view Diane J Hart'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®
NoneExperience
Current
November 12, 2020 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1924 Route 35 North Suite 10a, Wall, NJ 07719Office #2: 3425 Route 9 North Suite 102, Freehold, NJ 07728RIA
CRD#: 105644
WALL, NJ
Current
September 8, 2022 - Present
CETERA ADVISORS LLC
Office #1: 366 Herbertsville Road, Brick, NJ 08724Office #2: 3425 Route 9 North Suite 201, Freehold, NJ 07728BD
CRD#: 10299
Brick, NJ
Past
July 2, 2013 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
Freehold, NJ
Past
June 24, 2013 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
FREEHOLD, NJ
Past
December 14, 2009 - April 30, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
FREEHOLD, NJ
Past
April 3, 2008 - April 30, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
FREEHOLD, NJ
Past
September 23, 2005 - April 8, 2008
FSC SECURITIES CORPORATION
BD
CRD#: 7461
WEST LONG BRANCH, NJ
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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
Florida(9/8/2022)
RR
Georgia(11/4/2024)
RR
Nebraska(5/8/2025)
IAR
New Jersey(11/12/2020)
RR
New Jersey(9/8/2022)
RR
New York(9/8/2022)
RR
Pennsylvania(9/8/2022)
RR
South Carolina(9/8/2022)
IAR
Texas(10/7/2021)
RR
Texas(9/8/2022)
RR
Virginia(9/8/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Wall, NJ 07719TRUST BUT VERIFY
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