Diana Kon

Current Employers

Employment History

• 12/2012 → 09/2022
  First Allied Securities, Inc.
  San Diego, CA
• 10/2013 → 11/2020
  First Allied Advisory Services, Inc.
  Chesterfield, MO
• 11/2020 → Present
  First Allied Advisory Services
  Schaumburg, IL
• 04/2013 → Present
  Aviso Wealth Management (Potomac Investments)
  Seattle, WA
• 09/2022 → 09/2023
  Cetera Advisors Llc
  Seattle, WA
• 09/2023 → Present
  Osaic
  Bellevue, WA

Previous Registrations

• 2020-11-12 → 2023-10-03
  Cetera Investment Advisers Llc
  Seattle, WA
• 2013-10-02 → 2020-11-12
  First Allied Advisory Services, Inc.
  San Diego, CA
  Seattle, WA

Other Businesses

1) AVISO FINANCIAL, LLC POSITION: Chief Operating Officer NATURE: DBA for broker dealer related business. It is an LLC holding company INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 11/19/2013 ADDRESS: 252 W Swamp Road, Unit 28, Doylestown PA 18901, United States DESCRIPTION: Admin 2) AVISO FINANCIAL CENTER POSITION: Chief Operating Officer NATURE: DBA for the Osaic brokerage business from the Northumberland branch office INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 06/02/2015 ADDRESS: 227 Point Township Drive, Northumberland PA 17857, United States DESCRIPTION: Admin 3) AVISO WEALTH MANAGEMENT POSITION: Chief Operating Officer NATURE: Corporation, IndependentRIA INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 04/09/2012 ADDRESS: 11900 NE 1st Street, Suite 300, Bellevue WA 98005, United States DESCRIPTION: Employee - Admin / Operations 4) AVISO 227 HOLDINGS, LLC POSITION: Member NATURE: This LLCnow owns a piece of commercial real estate.? INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 11/03/2023 ADDRESS: 5987 Shetland Drive, Doylestown PA 18902, United States DESCRIPTION: Member of this LLC 5) PIPER MILANIE 1, LLC POSITION: Member NATURE: This LLC owns a piece of commercial real estate INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 04/14/2022 ADDRESS: 5987 Shetland Drive, Doylestown, PA 18902 DESCRIPTION: Member of the LLC that owns a commercial property 6) AVISO TAX SERVICES, LLC POSITION: admin NATURE: LLC - tax preparation INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 05/01/2021 ADDRESS: 227 Point Township Drive, Northumberland PA 17857, United States DESCRIPTION: admin

Exams

• S66 Uniform Combined State Law Examination
  2013-09-19

Other Names

• Diana Kon Yi