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Diana Dirocco

Ameriprise Financial Services, LLC

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About Diana Dirocco

Diana Dirocco is a financial advisor with Ameriprise Financial Services, LLC and is located in Monterey, CA. Diana has been a Registered Representative (RR) since September 2015. She is also a Registered Investment Advisor (IA) and holds the Series 63, 66, 7, and SIE licenses. Diana has experience working with clients such as charitable organizations, trusts/estates, individuals, corporations, and pension plans.

Firm Information

Diana Dirocco is currently registered with Ameriprise Financial Services, LLC. Ameriprise Financial Services, LLC is a Limited Liability Company formed in 1971 and headquartered in Minneapolis, Minnesota. The firm offers a variety of financial services, including financial planning, pension consulting, educational seminars, and portfolio management for individuals and businesses. Ameriprise has a significant presence in the United States, with a network of over 11,000 licensed agents and investment advisor representatives. The firm manages over $479 billion in assets for a diverse range of clients, including high-net-worth individuals, corporations, and pension plans.
Ameriprise Financial Services, LLC

707 2ND AVENUE SOUTH

MINNEAPOLIS, MN 55402

$479.79B

Assets Under Management

140,938

Total Clients

13,002

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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asset allocation services

Asset allocation services

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Diana Dirocco’s Registration & Firm History

CA

06/13/2023 - Present

Ameriprise Financial Services, LLC (Monterey CA)

CA

04/02/2019 - 06/21/2023

WELLS FARGO CLEARING SERVICES, LLC (CARMEL CA)

CA

11/16/2016 - 03/07/2018

AMERIPRISE FINANCIAL SERVICES, INC. (ROSEVILLE CA)

CA

09/29/2015 - 11/02/2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CARMEL CA)

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Licenses & Designations

BOTH

Issued 01/07/2016

Series 66 - Uniform Combined State Law Examination

BC

Issued 04/08/2013

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/07/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/28/2015

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 3 public disclosures for Diana Dirocco. Review regulatory record here.
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