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DM

Dianne P. Mattioli

RPP SECURITIES
New York, NY 10017
Some features on this profile are disabled
CRD#: 714971
DM

Professional summary

Dianne Palumbo Mattioli, who also goes by Diane Palumbo, is a registered financial professional currently at RPP SECURITIES located in New York, New York and FE CAPITAL MARKETS located in New York, New York.

Dianne is registered as a RR (Registered Representative) and started their career in finance in 1983. Dianne has worked at 11 firms and has passed the Series 66, Series 63, Series 82TO, Series 7TO, Series 99TO, SIE, Series 7, Series 14 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Diane Palumbo

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 Dianne Palumbo Mattioli'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

August 2, 2022 - Present

RPP SECURITIES

Office #1: 100 Park Avenue 16th Floor, New York, NY 10017
BD
CRD#: 314893
New York, NY
Current

May 17, 2024 - Present

FE CAPITAL MARKETS

Office #1: 101 Greenwich Street, Suite 506, New York, NY 10006
BD
CRD#: 314943
New York, NY
Past

December 23, 2016 - January 3, 2017

CALAMAR FINANCIAL GROUP, LLC

BD
CRD#: 283992
AMHERST, NY
Past

August 29, 2016 - September 13, 2019

STONEX OUTSOURCED SERVICES LLC

BD
CRD#: 30773
PARK CITY, UT
Past

July 27, 2016 - January 2, 2020

LIQUIDITYEDGE, LLC

BD
CRD#: 174297
NEW YORK, NY
Past

July 6, 2015 - December 18, 2024

FOREST ROAD SECURITIES BD LLC

BD
CRD#: 148232
NEW YORK, NY
Past

July 8, 2013 - October 2, 2014

HEDGEMARK SECURITIES LLC

BD
CRD#: 164503
NEW YORK, NY
Past

March 16, 2006 - December 18, 2012

EIM SECURITIES (USA) INC.

BD
CRD#: 40065
NEW YORK, NY
Past

January 28, 2002 - June 17, 2003

LH ROSS & COMPANY, INC.

BD
CRD#: 37920
BOCA RATON, FL
Past

November 17, 1993 - April 16, 2004

BALIS LEWITTES & COLEMAN, INC.

BD
CRD#: 33345
NEW YORK, NY
Past

January 2, 1983 - November 23, 1993

BALIS & ZORN INC.

BD
CRD#: 7711
NEW YORK, NY

State Registrations and Notice Filings

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

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
California
(7/22/2025)
RR
New York
(8/7/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/14/2004
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 7/8/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 82TO
Date: 9/22/2025
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/16/1980
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 11/25/1989
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/12/1983
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FC
FE CAPITAL MARKETS
FE CAPITAL MARKETS | FE CAPITAL MARKETS LLC

CRD#: 314943 / SEC#: , 8-70796

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
101 Greenwich Street Suite 506, New York, NY 10006
Mailing Address
101 Greenwich Street Suite 506, New York, NY 10019
Phone number
(800) 403-9067
Established
Delaware since 06/01/2021
Firm type
Limited Liability Company
Fiscal year end
February
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
FE INTERNATIONAL, INC.DIRECT OWNER
ALMERINI, LOUIS ACHILLEFINOP1605183
MATTIOLI, DIANNE PALUMBOCHIEF COMPLIANCE OFFICER714971
UNGERLEIDER, GRANVILLE ANGENYGENERAL SECURITIES PRINCIPAL451700

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

FE CAPITAL MARKETS

CRD#: 314943New York, NY 10017

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