DD
Diane F. De Oliveira
CETERA INVESTMENT ADVISERS LLC
DENVER, CO 80237
Some features on this profile are disabled
CRD#: 5259017
DD
Professional summary
Diane Frances De Oliveira, CFP®, who also goes by Diane F De Oliveira, Diane Deoliveira, Diane Frances Sweeney, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Denver, Colorado and CETERA WEALTH SERVICES, LLC located in Mount Arlington, New Jersey.
Diane is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Diane has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Diane F De Oliveira | Diane Deoliveira | Diane Frances Sweeney
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.
CRS (Client Relationship Summary) - RIA
Click below to view Diane Frances De Oliveira'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: 2009
Experience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 7900 E. Union Ave. Suite 1100, Denver, CO 80237Office #2: 45 Rockefeller Plaza Suite 2000, New York, NY 10111Office #3: 11 Lawrence Road, Newton, NJ 07860Office #4: 88 Bartley Flanders Road Suite 101, Flanders, NJ 07836Office #5: 1140 Route 22 East Suite 203, Bridgewater, NJ 08807Office #6: 115 Horseneck Road Suite 201, Montville, NJ 07045Office #7: 200 Valley Road Suite 300, Mount Arlington, NJ 07856RIA
CRD#: 105644
DENVER, CO
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 200 Valley Road Suite 300, Mount Arlington, NJ 07856Office #2: 262 Upper Ferry Road, Ewing, NJ 08628Office #3: 45 Rockefeller Plaza Suite 2000, New York, NY 10111Office #4: 88 Bartley Flanders Road Suite 101, Flanders, NJ 07836Office #5: 11 Lawrence Road, Newton, NJ 07860Office #6: 191 Woodport Road Suite 208h, Sparta, NJ 07871Office #7: 7900 E. Union Ave. Suite 1100, Denver, CO 80237Office #8: 111 St. Route 31 Suite 114, Flemington, NJ 08822Office #9: 1140 Route 22 East Suite 203, Bridgewater, NJ 08807Office #10: 115 Horseneck Road Suite 201, Montville, NJ 07045BD
CRD#: 13572
MOUNT ARLINGTON, NJ
Past
October 25, 2019 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
MOUNT ARLINGTON, NJ
Past
October 25, 2019 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
PARSIPPANY, NJ
Past
July 30, 2014 - October 25, 2019
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
MOUNT ARLINGTON, NJ
Past
July 28, 2014 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
MOUNT ARLINGTON, NJ
Past
February 16, 2010 - July 30, 2014
R.G HURLEY & ASSOCIATES, INC.
RIA
CRD#: 129174
WEST CALDWELL, NJ
Past
June 13, 2007 - June 11, 2014
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
WEST CALDWELL, 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
Arizona(9/5/2025)
RR
Arkansas(2/3/2026)
RR
California(9/5/2025)
RR
Colorado(9/5/2025)
IAR
Colorado(9/5/2025)
RR
Connecticut(9/5/2025)
RR
Delaware(9/5/2025)
RR
Florida(9/5/2025)
RR
Georgia(9/5/2025)
RR
Maryland(9/5/2025)
RR
Montana(9/5/2025)
RR
New Jersey(9/5/2025)
IAR
New Jersey(9/5/2025)
RR
New Mexico(1/2/2026)
RR
New York(9/5/2025)
IAR
New York(9/5/2025)
RR
North Carolina(9/5/2025)
RR
Pennsylvania(9/5/2025)
RR
South Carolina(1/2/2026)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Virginia(9/5/2025)
RR
Wyoming(1/23/2026)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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 |
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.
