DK
Diane S. Kelly
CETERA INVESTMENT ADVISERS LLC
Tolland, CT 06084
Some features on this profile are disabled
CRD#: 808647
DK
Professional summary
Diane Schafer Kelly, AIF®, who also goes by Diane Christine Kelly, Diane Christine Schafer, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Tolland, Connecticut and CETERA WEALTH SERVICES, LLC located in Tolland, Connecticut.
Diane is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1975. Diane has worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Diane Christine Kelly | Diane Christine Schafer
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.
(1) INDEPENDENT INSURANCE AGENT FIXED ANNUITIES, LIFE/ACCIDENT/HEALTH FOR 0HRS/WK SINCE 1978 ; (2) EYEBALL OPTICAL DBA FASHION OPTICS, NOT INVESTMENT RELATED, 458 TALCOTTVILLE RD, VERNON, CT 06066, EYEGLASSES, STARTED 1976, CORPORATE SECRETARY, APX 0 HOURS PER WEEK, NONE DURING TRADING HOURS, NO DUTIES ; (3) NAME OF OTHER BUSINESS: DBA KELLY & YOWELL FINANCIAL INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 06/08/2016 POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: DBA FOR SECURITIES BUSINESS ; (4) NAME OF OTHER BUSINESS: KELLY FAMILY EYECARE, INVESTMENT RELATED: NO, ADDRESS: 458 TALCOTTVILLE RD, VERNON, CT 06066, NATURE OF BUSINESS: EYE DOCTOR AND OPTICIAN, START DATE: 09/2023, POSITION/TITLE/RELATIONSHIP: EXECUTIVE OPERATIONS MANAGER, APX NUMBER OF HOURS PER WEEK: 12, APX NUMBER OF HOURS DURING TRADING HOURS: 12, BRIEF DESCRIPTION OF DUTIES: TROUBLESHOOTING PROBLEMS; (5) NAME OF OTHER BUSINESS: SAINT TERESA OF CALCUTTA SCHOOL FINANCE COMMITTEE; INVESTMENT RELATED: NO; ADDRESS: 80 MAIN STREET MANCHESTER, CT 06040; NATURE OF BUSINESS: SCHOOL; START DATE: 10/2025; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 3; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: ESTABLISH SCHOOL TUITIONS RATES AND BUDGETS;
CRS (Client Relationship Summary) - RIA
Click below to view Diane Schafer Kelly'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®
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 36 Cedar Swamp Road, Tolland, CT 06084RIA
CRD#: 105644
Tolland, CT
Current
September 3, 2013 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
TOLLAND, CT
Past
November 16, 2015 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
TOLLAND, CT
Past
April 25, 1996 - September 3, 2013
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
TOLLAND, CT
Past
August 15, 1994 - April 29, 1996
ADVANTAGE CAPITAL CORPORATION
BD
CRD#: 146
ATLANTA, GA
Past
June 4, 1975 - August 15, 1994
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
EL SEGUNDO, 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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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
Connecticut(9/3/2013)
IAR
Connecticut(6/29/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 5/22/1975
Registered Representative ExaminationSRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Tolland, CT 06084TRUST BUT VERIFY
Monitor Diane Kelly
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
