Diana Victoria Smith

Current Employers

Employment History

• 11/2010 → 02/2020
  Ameriprise Financial Services, Inc.
  Auburndale, MA
• 02/2020 → 04/2026
  South Shore Advisory Group
  Norwell, MA
• 02/2020 → Present
  Cetera Advisors Llc
  Denver, CO
• 03/2024 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2016-09-01 → 2020-02-28
  Ameriprise Financial Services, Llc
  Auburndale, MA
  Hingham, MA
  Boston, MA

Other Businesses

1) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 6/2021; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, DISABILITY, ANNUITIES AND LONG TERM CARE; 2) NAME OF OTHER BUSINESS: NORTHEAST BROKERAGE INC; INVESTMENT RELATED: YES ; ADDRESS: 867 MAIN STREET MANCHESTER, CT 06040; NATURE OF BUSINESS: INSURANCE SERVICES; START DATE: 6/2021; POSITION/TITLE/RELATIONSHIP: AGENT; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: DBA FOR INSURANCE SERVICES; 3) NAME OF OTHER BUSINESS: PROSPERITY FINANCIAL PLANNING; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 4/2023, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 4) NAME OF OTHER BUSINESS: NOTARY PUBLIC COMMISSION; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: NOTARIZING DOCUMENTS ; START DATE: 2012; POSITION/TITLE/RELATIONSHIP: NOTARY ; APX NUMBER OF HOURS PER WEEK: VARIES ; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: NOTARIZING DOCUMENTS ; 5) NAME OF OTHER BUSINESS: SACRED HEART PARENTS ASSOCIATION; INVESTMENT RELATED: NO; ADDRESS: 329 BISHOPS HWY, KINGSTON, MA 02364; NATURE OF BUSINESS: BOARD; START DATE: 6/2025; POSITION/TITLE/RELATIONSHIP: TREASURER; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: PROCESS VENDOR PAYMENTS, BALANCE BANK ACCOUNT;

Exams

• S65 Uniform Investment Adviser Law Examination
  2016-09-01
• S63 Uniform Securities Agent State Law Examination
  2006-12-20

Other Names

• Diana Locke
• Diana V Locke