Diana Kon

AVISO WEALTH MANAGEMENT

Bellevue, WA 98005

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CRD#: 6053108

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Diana Kon'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®

None

Experience

Current

October 2, 2023 - Present

AVISO WEALTH MANAGEMENT

Office #1: 11900 Ne 1st Street Suite 300, Bellevue, WA 98005

RIA

CRD#: 108146

Bellevue, WA

Current

September 29, 2023 - Present

OSAIC WEALTH, INC.

Office #1: 11900 Ne 1st St Suite 300, Bellevue, WA 98005

RIA

CRD#: 23131

Bellevue, WA

Past

September 8, 2022 - October 3, 2023

CETERA ADVISORS LLC

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.

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".

AVISO WEALTH MANAGEMENT

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.

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

Washington
(10/2/2023)

IAR

Washington
(10/2/2023)

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: 9/19/2013

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/26/2012

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

AVISO WEALTH MANAGEMENT

CRD#: 108146 / SEC#: 801-56358

RIA

Registered Investment Advisory firm - (3/22/1999 Approved)

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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

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AVISO WEALTH MANAGEMENT (3/28/2025)

Regulatory assets under management

Total Number of Accounts	1,904
AUM (Assets Under Management)	$ 494,946,434

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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Advisor Monitoring

Firm Stability Insights

Diana Kon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Diana Kon's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

CETERA ADVISORS LLC

CETERA INVESTMENT ADVISERS LLC

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

Primary Firm SEC Registration

AVISO WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 9/19/2013

SIE

Date: 10/1/2018

Series 7

Date: 12/26/2012

FINRA

Current Firm

AVISO WEALTH MANAGEMENT

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AVISO WEALTH MANAGEMENT

TRUST BUT VERIFY

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