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Diony Concepcion

Cambridge Investment Research Advisors, INC.
23 Years of Experience
Norwalk, CT
1 DisclosureBrokerSells Insurance
View SEC Summary
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Diony Concepcion is a registered investment advisor at Cambridge Investment Research Advisors, INC., based in Norwalk, CT, with 23 years of industry experience. Diony is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Divorce Planning, Education Planning, Estate Planning, Financial Planning & Coaching, and 6 more. Their firm serves 361,213 clients with $140B in assets under management.

Cambridge Investment Research Advisors, INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
3940 advisors
Number of Clients
361,213 clients
Average Client Portfolio
$384K average
Assets Under Management
$138.7B

Fee Structure

Minimum Investment:$25K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Maximum allowable advisory fee is 2.25% annually across platforms. Actual fees are negotiable and set by your financial professional based on account size, complexity, and specific program selected.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

50 Washington St., 4th Floor, Norwalk, CT, 06854

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Judgment / Lien
May 2026
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Diony is an advisory representative of an RIA, dedicating about half of their time to this role. Diony also works as a driver for Amride LLC and Lyft, owns Angelo Insurance Agency, and is an IAR for Guidelight Financial.

Employment History
Current Registrations
Cambridge Investment Research Advisors, INC.
May 2019 - Present · 7 yrs 5 mos
Cambridge Investment Research, INC.Broker
May 2019 - Present · 7 yrs 5 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
October 2014 - May 2017 · 2 yrs 7 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
September 2014 - May 2017 · 2 yrs 8 mos
Morgan Stanley
September 2012 - October 2014 · 2 yrs 1 mo
Morgan StanleyBroker
July 2012 - October 2014 · 2 yrs 3 mos
Ameriprise Financial Services, INC.
March 2008 - March 2008 · 0 mos
Ameriprise Financial Services, INC.Broker
March 2008 - March 2008 · 0 mos
Phoenix Equity Planning CorporationBroker
August 2007 - February 2008 · 6 mos
Samuel a Ramirez & CO., INC.Broker
May 2005 - June 2007 · 2 yrs 1 mo
Merrill Lynch Pierce Fenner & Smith INC.
February 2000 - May 2005 · 5 yrs 3 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
November 1999 - May 2005 · 5 yrs 6 mos
Nylife Securities INC.Broker
June 1996 - May 1999 · 2 yrs 11 mos
First Investors CorporationBroker
October 1995 - May 1996 · 7 mos
State Registrations2 states
CTFL
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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Diony Concepcion - Financial Advisor | TrueAdvisor