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MD

Megan Dia

CITIZENS PRIVATE WEALTH
Newport Beach, CA 92660
Some features on this profile are disabled
CRD#: 6440789
MD

Professional summary

Megan Dia, who also goes by Megan Menor Dia, Megan Michelle Dia, Megan Michelle Menor Miss, Megan Michelle Menor, Megan Menor, is a registered financial advisor currently at CITIZENS PRIVATE WEALTH located in Newport Beach, California and CITIZENS SECURITIES, INC. located in Newport Beach, California.

Megan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Megan has worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Megan Menor Dia | Megan Michelle Dia | Megan Michelle Menor Miss | Megan Michelle Menor | Megan Menor

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 Megan Dia'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

November 5, 2025 - Present

CITIZENS PRIVATE WEALTH

Office #1: 1400 Newport Center Drive, Suite 150 Ca544, Newport Beach, CA 92660
RIA
CRD#: 106743
Newport Beach, CA
Current

November 5, 2025 - Present

CITIZENS SECURITIES, INC.

Office #1: 1400 Newport Center Drive, Suite 150 Ca544, Newport Beach, CA 92660
RIA
BD
CRD#: 39550
Newport Beach, CA
Current

November 5, 2025 - Present

CITIZENS SECURITIES, INC.

Office #1: 1400 Newport Center Drive, Suite 150 Ca544, Newport Beach, CA 92660
RIA
BD
CRD#: 39550
Newport Beach, CA
Past

September 19, 2025 - November 13, 2025

CITI PRIVATE ALTERNATIVES, LLC

BD
CRD#: 153777
Beverly Hills, CA
Past

May 26, 2020 - November 13, 2025

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
BEVERLY HILLS, CA
Past

December 7, 2017 - November 13, 2025

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
BEVERLY HILLS, CA
Past

January 23, 2017 - December 4, 2017

U.S. BANCORP ADVISORS, LLC

BD
CRD#: 14455
CITY OF INDUSTRY, CA

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".
CP
CITIZENS PRIVATE WEALTH
CITIZENS PRIVATE CLIENT | ESTATE PRESERVATION SERVICES, LLC | CLARFELD FINANCIAL ADVISORS, LLC | CLARFELD FINANCIAL ADVISORS INC | CLARFELD | CITIZENS PRIVATE WEALTH

CRD#: 106743 / SEC#: 801-40835

RIA
Registered Investment Advisory firm - (2/20/1992 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
(11/5/2025)
IAR
Arizona
(11/6/2025)
RR
California
(11/5/2025)
IAR
California
(11/5/2025)
RR
Connecticut
(11/5/2025)
IAR
Connecticut
(11/6/2025)
RR
Delaware
(11/5/2025)
IAR
Delaware
(11/5/2025)
RR
District of Columbia
(11/5/2025)
RR
Florida
(11/5/2025)
IAR
Florida
(11/6/2025)
RR
Kansas
(11/5/2025)
IAR
Kansas
(11/5/2025)
RR
Nevada
(11/5/2025)
IAR
Nevada
(11/5/2025)
RR
New Jersey
(11/5/2025)
IAR
New Jersey
(11/5/2025)
RR
New York
(11/5/2025)
IAR
New York
(11/5/2025)
RR
Pennsylvania
(11/5/2025)
IAR
Pennsylvania
(11/6/2025)
RR
South Carolina
(11/5/2025)
IAR
South Carolina
(11/7/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/26/2020
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 2/21/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/11/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 1/23/2017
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CP
CITIZENS PRIVATE WEALTH
CITIZENS PRIVATE CLIENT | ESTATE PRESERVATION SERVICES, LLC | CLARFELD FINANCIAL ADVISORS, LLC | CLARFELD FINANCIAL ADVISORS INC | CLARFELD | CITIZENS PRIVATE WEALTH

CRD#: 106743 / SEC#: 801-40835

RIA
Registered Investment Advisory firm - (2/20/1992 Approved)
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Contact information

Main Address
520 White Plains Road 3rd Floor, Tarrytown, NY 10591
Mailing Address
Phone number
(914) 846-0100
Established
Firm type
Fiscal year end
# of Employees
200

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART II A (3/31/2025)

Regulatory assets under management

Total Number of Accounts7,846
AUM (Assets Under Management)$ 12,182,945,000

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
01/28/2025
Cover Page
Report
07/28/2023
Cover Page
Report
10/28/2022
Cover Page
Report

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

CITIZENS PRIVATE WEALTH

CRD#: 106743Newport Beach, CA 92660

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