Diane J Hart

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

• 06/2013 → 09/2022
  First Allied Securities, Inc.
  San Diego, CA
• 07/2013 → 11/2020
  First Allied Advisory Services, Inc.
  San Diego, CA
• 11/2020 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 09/2022 → Present
  Cetera Advisors Llc
  Brick, NJ

Previous Registrations

• 2013-07-02 → 2020-11-12
  First Allied Advisory Services, Inc.
  San Diego, CA
  Freehold, NJ
  Wall, NJ
• 2009-12-14 → 2013-04-30
  Ameriprise Financial Services, Llc
  Freehold, NJ

Other Businesses

1.) HART FINANCIAL SERVICES; SOLE PROPRIETOR; NON-CPA ACCOUNTING AND/OR TAX PREPARATION; START DATE 01/01/1998; 20 HRS. PER MONTH. 2.) LPA STRATEGIC CAPITAL; FINANCIAL ADVISOR; DBA; START DATE 5/1/2013; 160 HOURS PER MONTH 3.) FRIENDS OF BRICK; VOLUNTEER MEMBER; NON-PROFIT ORGANIZATION; START DATE 07/01/2012; 8 HOURS PER MONTH. 4.) Hart Financial Services; Sole Propreitor; Non-CPA Accounting and/or Tax Preparation; start date 01/01/1998; 20 hours per month.

Exams

• S65 Uniform Investment Adviser Law Examination
  2009-12-13
• S63 Uniform Securities Agent State Law Examination
  2005-12-07

Other Names

• Diane J. Rossi
• Diane J Hart
• Diane J Hart