Diana Smith
Diana Smith is a registered investment advisor at Cetera Investment Advisers LLC, based in Burlington, MA, with 19 years of industry experience. Diana operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Location
1500 District Ave, Burlington, MA, 01803
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Diana is the owner of South Shore Advisory Group and a financial professional at Prosperity Financial Planning, both DBAs for financial services, dedicating full-time hours to these roles. She also works as an insurance agent selling life, disability, annuities, and long-term care products, and serves as treasurer for Sacred Heart Parents Association, spending a few hours per week on each.
Employment History
Current Registrations
Cetera Investment Advisers LLC
Cetera Advisors LLC
Cetera Advisors LLCBroker
Previous Registrations
Cetera Advisors LLC
Ameriprise Financial Services, LLC.
Ameriprise Financial Services, LLCBroker
UBS Financial Services INC.Broker
State Registrations10 states
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