Diane R Herrington

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/1982 → Present
  Diane R. Herrington, Cpa, P.A.
  Lakeland, FL
• 06/2004 → Present
  Cetera Financial Specialists Llc
  Schaumburg, IL
• 10/2005 → Present
  Cetera Invesment Advisers Llc
  Schaumburg, IL
• 01/1987 → 01/2024
  Diane R. Herrington, Cpa, P.A.
  Lakeland, FL
• 01/2024 → Present
  Herrington Financial Corp
  Lakeland, FL

Other Businesses

1) NAME OF OTHER BUSINESS: HERRINGTON FINANCIAL CORP; INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: TAX & ACCOUNTING; START DATE: 1/2024; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 15; APX NUMBER OF HOURS DURING TRADING HOURS: 15; BRIEF DESCRIPTION OF DUTIES: TAX PREPARATION, ACCOUNTING & BOOKKEEPING, TAX PLANNING; 2)KIDS NEED BOTH, INC., NON-INVESTMENT RELATED, 1020 W. PIPKIN RD., LAKELAND, FL., NON-VOTING BOARD MEMBER ESTABLISHING ACCOUNTING PROCEDURES, WORK WITH ACCOUNTANT AND ATTORNEY AS NEEDED, START DATE 2013: 3)N/A, NOT INVESTMENT RELATED, SAME AS RESIDENTIAL LOCATION, PIANO MUSIC, STARTED 11/2010, PIANIST, APX 12 HOURS PER WEEK, NOT DURING TRADING HOURS, PIANIST AT WEDDINGS AND RECEPTIONS.

Exams

• S65 Uniform Investment Adviser Law Examination
  2005-10-05
• S63 Uniform Securities Agent State Law Examination
  1998-11-20