Diana M. Falzone

EQUITABLE DISTRIBUTORS

Charlotte, NC 28262

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CRD#: 6747368

Professional summary

Diana M Falzone, who also goes by Diana Marie Falzone, Diana Falzone, is a registered financial professional currently at EQUITABLE DISTRIBUTORS, LLC located in Charlotte, North Carolina.

Diana is registered as a RR (Registered Representative) and started their career in finance in 2017. Diana has worked at 4 firms and has passed the Series 63, Series 7TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Diana Marie Falzone | Diana Falzone

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) - BD

Click below to view Diana M Falzone'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®

None

Experience

Current

April 16, 2025 - Present

EQUITABLE DISTRIBUTORS, LLC

Office #1: 8501 Ibm Drive Suite 150, Charlotte, NC 28262

CRD#: 25900

Charlotte, NC

Past

September 4, 2020 - March 10, 2025

HARTFORD FUNDS DISTRIBUTORS, LLC

CRD#: 45995

Wayne, PA

Past

November 5, 2018 - September 4, 2020

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

CRD#: 40178

FRANKLIN, TN

Past

April 27, 2017 - June 29, 2018

MML INVESTORS SERVICES, LLC

CRD#: 10409

BRIDGEWATER, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Alaska
(4/16/2025)

Arizona
(4/16/2025)

Colorado
(4/16/2025)

Hawaii
(4/16/2025)

Idaho
(4/16/2025)

Montana
(4/16/2025)

Nebraska
(4/16/2025)

Nevada
(4/16/2025)

New Jersey
(4/16/2025)

New Mexico
(4/16/2025)

Oregon
(4/16/2025)

Utah
(4/16/2025)

Washington
(4/16/2025)

Wyoming
(4/16/2025)

Exams

State Security Law Exam

Series 63

Date: 2/20/2018

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/26/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 6/29/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 4/27/2017

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

EQUITABLE DISTRIBUTORS, LLC

AXA DISTRIBUTORS, LLC | EQUITABLE DISTRIBUTORS, LLC | EQUITABLE DISTRIBUTORS, INC. | AXA PARTNERS, A BUSINESS UNIT OF AXA DISTRIBUTORS, LLC

CRD#: 25900 / SEC#: , 8-42123

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

8501 Ibm Drive, Suite 150, Charlotte, NC 28262

Mailing Address

1345 Avenue Of The Americas, New York, NY 10105

Phone number

(212) 314-2137

Established

Delaware since 01/01/2002

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
EQ HOLDINGS, LLC	OWNER
D'AUGUSTE, ARIELLE RACHEL	GENERAL COUNSEL	7252573
DURSO, ALFRED JOSEPH	CHIEF COMPLIANCE OFFICER	2546771
KAIS, JAMES MICHAEL	DIRECTOR	2529327
LANE, NICHOLAS BURRITT	CHAIRMAN OF THE BOARD, PRESIDENT AND CHIEF EXECUTIVE OFFICER	4994948
SCANLON, STEPHEN CAULEY	DIRECTOR	2219308
SCAPPATOR, CANDACE LYNN	FINOP / CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER	4697607

Disclosures

Arbitration

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 M. Falzone

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

HARTFORD FUNDS DISTRIBUTORS, LLC

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

MML INVESTORS SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/20/2018

Series 7TO

Date: 8/26/2020

SIE

Date: 6/29/2018

Series 6

Date: 4/27/2017

FINRA

Current Firm

EQUITABLE DISTRIBUTORS, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

EQUITABLE DISTRIBUTORS, LLC

TRUST BUT VERIFY

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