DK
Diana Kon
AVISO WEALTH MANAGEMENT
Bellevue, WA 98005
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CRD#: 6053108
DK
Professional summary
Diana Kon, who also goes by Diana Kon Yi, is a registered financial advisor currently at AVISO WEALTH MANAGEMENT located in Bellevue, Washington and OSAIC WEALTH, INC. located in Bellevue, Washington.
Diana is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Diana has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Diana Kon Yi
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) AVISO FINANCIAL, LLC POSITION: Chief Operating Officer NATURE: DBA for broker dealer related business. It is an LLC holding company INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 11/19/2013 ADDRESS: 252 W Swamp Road, Unit 28, Doylestown PA 18901, United States DESCRIPTION: Admin 2) AVISO FINANCIAL CENTER POSITION: Chief Operating Officer NATURE: DBA for the Osaic brokerage business from the Northumberland branch office INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 06/02/2015 ADDRESS: 227 Point Township Drive, Northumberland PA 17857, United States DESCRIPTION: Admin 3) AVISO WEALTH MANAGEMENT POSITION: Chief Operating Officer NATURE: Corporation, IndependentRIA INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 04/09/2012 ADDRESS: 11900 NE 1st Street, Suite 300, Bellevue WA 98005, United States DESCRIPTION: Employee - Admin / Operations 4) AVISO 227 HOLDINGS, LLC POSITION: Member NATURE: This LLCnow owns a piece of commercial real estate.? INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 11/03/2023 ADDRESS: 5987 Shetland Drive, Doylestown PA 18902, United States DESCRIPTION: Member of this LLC 5) PIPER MILANIE 1, LLC POSITION: Member NATURE: This LLC owns a piece of commercial real estate INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 04/14/2022 ADDRESS: 5987 Shetland Drive, Doylestown, PA 18902 DESCRIPTION: Member of the LLC that owns a commercial property 6) AVISO TAX SERVICES, LLC POSITION: admin NATURE: LLC - tax preparation INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 05/01/2021 ADDRESS: 227 Point Township Drive, Northumberland PA 17857, United States DESCRIPTION: admin
CRS (Client Relationship Summary) - RIA
Click below to view Diana Kon'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
October 2, 2023 - Present
AVISO WEALTH MANAGEMENT
Office #1: 11900 Ne 1st Street Suite 300, Bellevue, WA 98005RIA
CRD#: 108146
Bellevue, WA
Current
September 29, 2023 - Present
OSAIC WEALTH, INC.
Office #1: 11900 Ne 1st St Suite 300, Bellevue, WA 98005RIA
BD
CRD#: 23131
Bellevue, WA
Past
September 8, 2022 - October 3, 2023
CETERA ADVISORS LLC
BD
CRD#: 10299
BELLEVUE, WA
Past
November 12, 2020 - October 3, 2023
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
SEATTLE, WA
Past
October 2, 2013 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
SEATTLE, WA
Past
January 1, 2013 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
SEATTLE, WA
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".
AW
AVISO WEALTH MANAGEMENT
AVISO WEALTH MANAGEMENT | POTOMAC INVESTMENTS, INC. | MARCIA JOSLYN SILL, INC. | M.J. INVESTMENT ADVISORS | M.J. INVESTMENT ADVISERS | M. J. INVESTMENT ADVISERS
CRD#: 108146 / SEC#: 801-56358
RIA
Registered Investment Advisory firm - (3/22/1999 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
Washington(10/2/2023)
IAR
Washington(10/2/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AW
AVISO WEALTH MANAGEMENT
AVISO WEALTH MANAGEMENT | POTOMAC INVESTMENTS, INC. | MARCIA JOSLYN SILL, INC. | M.J. INVESTMENT ADVISORS | M.J. INVESTMENT ADVISERS | M. J. INVESTMENT ADVISERS
CRD#: 108146 / SEC#: 801-56358
RIA
Registered Investment Advisory firm - (3/22/1999 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
11900 Ne 1st St Suite 300, Bellevue, WA 98005
Mailing Address
Phone number
(877) 633-1210
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (24 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,904 |
| AUM (Assets Under Management) | $ 494,946,434 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
