DS
Diana V. Smith
CETERA INVESTMENT ADVISERS LLC
BURLINGTON, MA 01803
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CRD#: 5181390
DS
Professional summary
Diana Victoria Smith, who also goes by Diana V Locke, Diana Locke, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Burlington, Massachusetts and CETERA ADVISORS LLC located in Plymouth, Massachusetts.
Diana is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Diana has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Diana V Locke | Diana Locke
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) SOUTH SHORE ADVISORY GROUP, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FINANCIAL SERVICES, STARTED 02/2020, OWNER APX NUMBER OF HOURS PER WEEK: 40, 32.5 DURING TRADING HOURS BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES 2) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 6/2021; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, DISABILITY, ANNUITIES AND LONG TERM CARE; 3) NAME OF OTHER BUSINESS: NORTHEAST BROKERAGE INC; INVESTMENT RELATED: YES ; ADDRESS: 867 MAIN STREET MANCHESTER, CT 06040; NATURE OF BUSINESS: INSURANCE SERVICES; START DATE: 6/2021; POSITION/TITLE/RELATIONSHIP: AGENT; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: DBA FOR INSURANCE SERVICES; 4) NAME OF OTHER BUSINESS: PROSPERITY FINANCIAL PLANNING; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 4/2023, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 5) NAME OF OTHER BUSINESS: NOTARY PUBLIC COMMISSION; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: NOTARIZING DOCUMENTS ; START DATE: 2012; POSITION/TITLE/RELATIONSHIP: NOTARY ; APX NUMBER OF HOURS PER WEEK: VARIES ; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: NOTARIZING DOCUMENTS ; 6) NAME OF OTHER BUSINESS: SACRED HEART PARENTS ASSOCIATION; INVESTMENT RELATED: NO; ADDRESS: 329 BISHOPS HWY, KINGSTON, MA 02364; NATURE OF BUSINESS: BOARD; START DATE: 6/2025; POSITION/TITLE/RELATIONSHIP: TREASURER; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: PROCESS VENDOR PAYMENTS, BALANCE BANK ACCOUNT;
CRS (Client Relationship Summary) - RIA
Click below to view Diana Victoria Smith'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
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1500 District Ave, Burlington, MA 01803RIA
CRD#: 105644
BURLINGTON, MA
Current
February 20, 2020 - Present
CETERA ADVISORS LLC
Office #1: 34 Main St Ext Suite 201, Plymouth, MA 02360Office #2: 34 Main Street Extension Ste 201, Plymouth, MA 02360Office #3: 1500 District Ave, Burlington, MA 01803BD
CRD#: 10299
Plymouth, MA
Past
February 25, 2020 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
NORWELL, MA
Past
September 1, 2016 - February 28, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
Boston, MA
Past
December 6, 2010 - February 28, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Boston, MA
Past
October 10, 2006 - December 7, 2010
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WELLESLEY, MA
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
Connecticut(2/20/2020)
RR
Florida(4/7/2025)
RR
Illinois(7/16/2020)
RR
Massachusetts(2/20/2020)
IAR
Massachusetts(3/21/2024)
RR
Nevada(10/30/2024)
RR
New Hampshire(4/23/2020)
RR
North Carolina(4/30/2025)
RR
Rhode Island(9/29/2020)
RR
South Carolina(1/27/2025)
RR
Virginia(3/9/2020)
Exams
State Security Law Exam
State Security Law 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
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Burlington, MA 01803TRUST BUT VERIFY
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