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Diana Dirocco

Ameriprise Financial Services, LLC

Monterey, CA

San Jose, CA

Marina, CA

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Current Employers
Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2023-06-13
  • CA RA
    APPROVED
    Since 2023-06-13

Branch Locations

1 Lower Ragsdale Dr Bldg 1 Ste 100, Monterey, CA 93940 • United States

225 W Santa Clara St Ste 1600, San Jose, CA 95113-1723 • United States

Marina, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Carmel CA 05/2015 10/2016
Bank Of America, N.A. Carmel CA 06/2013 10/2016
Ameriprise Financial Services, Inc. Roseville CA 11/2016 03/2018
Springer Financial Advisors Sacramento CA 03/2018 01/2019
Wells Fargo Clearing Services, Llc Sacramento CA 03/2019 06/2023
Ameriprise Financial Services, Llc San Jose CA 06/2023 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-01-07
S63 Uniform Securities Agent State Law Examination 2013-04-08
  • S66 Uniform Combined State Law Examination
    2016-01-07
  • S63 Uniform Securities Agent State Law Examination
    2013-04-08
Other Names
  • Diana Zhestovskaya
  • Diana Nirnberger
  • Diana Di Rocco

View on SEC IAPD

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Other Offices

COMMONWEALTH FINANCIAL NETWORK · Monterey, CA
EDWARD JONES · Monterey, CA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Monterey, CA
FIRST COMMAND ADVISORY SERVICES · Monterey, CA
MODERN WEALTH MANAGEMENT, LLC · MONTEREY, CA
DEL MONTE CAPITAL, INC. · MONTEREY, CA
MORGAN STANLEY · Monterey, CA
STRATEGIC ADVISERS LLC · MONTEREY, CA

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