DN
Diana K. Nzau
WEALTHSPIRE RETIREMENT ADVISORY
Scottsdale, AZ 85258
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CRD#: 6150630
DN
Professional summary
Diana Kalunde Nzau, who also goes by Diana K Nzau, is a registered financial advisor currently at WEALTHSPIRE RETIREMENT ADVISORY located in Scottsdale, Arizona and KESTRA INVESTMENT SERVICES, LLC located in Aliso Viejo, California.
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 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Diana K Nzau
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.
Name: KESTRA ADVISORY SERVICES POSITION: IAR NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 11/25/2024 ADDRESS: 5707 Southwest Parkway, Building 2, Suite 400, Austin TX 78735, United States DESCRIPTION: IAR Name: NFP RETIREMENT, INC POSITION: Financial Coach NATURE: Financial Coaching/Education INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 11/25/2024 ADDRESS: 200 Park Ave, Suite 3202, New York NY 10166, United States DESCRIPTION: Providing both group and individual financial coaching and education on financial matters.
CRS (Client Relationship Summary) - RIA
Click below to view Diana Kalunde Nzau'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
December 5, 2024 - Present
WEALTHSPIRE RETIREMENT ADVISORY
Office #1: 8777 N. Gainey Center Drive Ste. 161, Scottsdale, AZ 85258RIA
CRD#: 121254
Scottsdale, AZ
Current
May 29, 2025 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 120 Vantis Suite 400, Aliso Viejo, CA 92656BD
CRD#: 42046
Aliso Viejo, CA
Past
October 1, 2019 - December 2, 2024
VANGUARD ADVISERS, INC.
RIA
CRD#: 106715
SCOTTSDALE, AZ
Past
March 12, 2013 - December 2, 2024
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
SCOTTSDALE, AZ
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".
WR
WEALTHSPIRE RETIREMENT ADVISORY
401 (K) ADVISORS | WEALTHSPIRE RETIREMENT, LLC | WEALTHSPIRE RETIREMENT ADVISORY | SST BENEFITS AND CONSULTING SERVICES LLC | NFP RETIREMENT INC. | NFP RETIREMENT | FIDUCIARYPATH | FIDUCIARY FIRST, LLC | ACCELERATE RETIREMENT | 403(B) ADVISORS | 401(K) INVESTMENT ADVISORS, INC. | 401(K) ADVISORS, INC. | 401(K) ADVISORS INC. | 401 (K) ADVISORS, INC.
CRD#: 121254 / SEC#: 801-66107
RIA
Registered Investment Advisory firm - (1/31/2006 Approved)California
Registered Investment Advisory firm - (2/9/2006 Terminated)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
IAR
Arizona(1/9/2025)
RR
Arizona(5/30/2025)
IAR
California(12/5/2024)
RR
California(5/29/2025)
IAR
Colorado(1/23/2025)
IAR
Idaho(12/5/2024)
IAR
Montana(4/15/2025)
IAR
Nevada(1/9/2025)
IAR
New Mexico(1/9/2025)
IAR
Oregon(1/9/2025)
IAR
Utah(12/6/2024)
IAR
Washington(1/28/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
WR
WEALTHSPIRE RETIREMENT ADVISORY
401 (K) ADVISORS | WEALTHSPIRE RETIREMENT, LLC | WEALTHSPIRE RETIREMENT ADVISORY | SST BENEFITS AND CONSULTING SERVICES LLC | NFP RETIREMENT INC. | NFP RETIREMENT | FIDUCIARYPATH | FIDUCIARY FIRST, LLC | ACCELERATE RETIREMENT | 403(B) ADVISORS | 401(K) INVESTMENT ADVISORS, INC. | 401(K) ADVISORS, INC. | 401(K) ADVISORS INC. | 401 (K) ADVISORS, INC.
CRD#: 121254 / SEC#: 801-66107
RIA
Registered Investment Advisory firm - (1/31/2006 Approved)California
Registered Investment Advisory firm - (2/9/2006 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
120 Vantis Suite 400, Aliso Viejo, CA 92656
Mailing Address
Phone number
(949) 460-9898
Established
Firm type
Fiscal year end
# of Employees
240
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 9,394 |
| AUM (Assets Under Management) | $ 118,031,461,765 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
