Adviser and broker representative · Cetera Investment Advisers LLC
Diana V. Smith
CRD 5181390 · Burlington, MA
At a glance
Diana V. Smith is an investment adviser representative with Cetera Investment Advisers LLC in Burlington, MA, according to the SEC’s Investment Adviser Public Disclosure records. The earliest registration on Diana’s SEC record dates to 2016, about 10 years ago. Diana is also registered as a broker representative.
Current advisory firm
- Cetera Investment Advisers LLCSince March 2024Burlington, MA · $257B in regulatory assets
SEC adviser record
- Registered since
- 2016 (10 years)
- Designations
- None on file
- Exams
- Series 63, Series 65
- Registered in
- 1 state
- Also a broker representative
- Yes
- Disclosures on record
- None
AtlasMembers
Diana’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- 1 firmLocked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
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Something wrong? Ask for a correction. Source: the SEC’s Investment Adviser Public Disclosure records, as of October 2026. The full record, including any disclosure details, is on the SEC’s adviser search and FINRA BrokerCheck.