Kathi Mary Diorio

Employer firm

Capital Analysts CRD 162200

$8.77B regulatory AUM 57 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers

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

Current Employers

Capital Analysts

601 Office Center Drive Suite 300, Fort Washington, PA 19034-3232 • United States

Current Registrations

Authority	Category	Status	Date
NJ	RA	APPROVED	2018-01-17

NJ RA
APPROVED

Since 2018-01-17

Branch Locations

500 N. Franklin Turnpike Suite 102, Ramsey, NJ 07446 • United States

Lincoln Investment

601 Office Center Drive Suite 300, Fort Washington, PA 19034-3232 • United States

Current Registrations

Authority	Category	Status	Date
NJ	RA	APPROVED	2017-04-24

NJ RA
APPROVED

Since 2017-04-24

Branch Locations

601 Office Center Drive Suite 300, Fort Washington, PA 19034 • United States

500 N. Franklin Turnpike Suite 102, Ramsey, NJ 07446 • 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

Organization	City	State	From	To
Legend Equities Corporation	Palm Beach Gardens	FL	08/1995	01/2017
Lincoln Investment	Mahwah	NJ	01/2017	Present

08/1995 → 01/2017

Legend Equities Corporation

Palm Beach Gardens, FL
01/2017 → Present

Lincoln Investment

Mahwah, NJ

Previous Registrations

2011-01-06 → 2019-10-04

Legend Advisory, Llc

Pearl River, NY

Palm Beach Gardens, FL

Mahwah, NJ

Ramsey, NJ

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1995-09-12

S63 Uniform Securities Agent State Law Examination

1995-09-12

Designations

Certified Financial Planner

Other Names

Kathi Diorio

View on SEC IAPD