Diane Marie Costello

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-08-03
TX	RA	APPROVED_RES	2017-05-23

NY RA
APPROVED

Since 2021-08-03
TX RA
APPROVED_RES

Since 2017-05-23

Branch Locations

Binghamton, NY • 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
Lpl Financial, Llc	Binghamton	NY	12/2002	Present

12/2002 → Present

Lpl Financial, Llc

Binghamton, NY

Other Businesses

1. 8/19/2010: NO BUSINESS NAME - Investment Related - At Reported Business Location(s) - NON-VARIABLE INSURANCE - 1% TIME SPENT - PROVIDE LONG TERM CARE INSURANCE FOR MY CLIENTS AS NEEDED. PROVIDE LIFE INSURANCE, HEALTH INSURANCE, FIXED ANNUITIES, DISABILITY AS NEEDED. 2. 2/14/2013: NO BUSINESS NAME - Investment Related - Binghamton, NY - REAL ESTATE RENTAL - TIME SPENT 0% - OWNER OF RENTAL PROPERTY - 1 RENTAL HOME, CURRENTLY UNOCCUPIED. 3. 4/25/2017 - Costello Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 10/07/2011 - 40 Hours Per Month During Securities Trading.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1998-12-07

S63 Uniform Securities Agent State Law Examination

1998-12-07

Other Names

Diane Rodgers Costello

View on SEC IAPD