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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Diane? Claim Your ProfileDiane Padalino is an investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. with over 27 years of experience in the financial industry. Diane has been registered with the Securities and Exchange Commission (SEC) since 1996. She is currently licensed in Colorado and Texas. Prior to joining Merrill Lynch, Pierce, Fenner & Smith Inc. in 2013, Diane worked at Goldman, Sachs & Co. and J.P. Morgan Securities Inc.. Diane holds the Series 3, 7, and 63 licenses, as well as the SIE and Series 65. Diane's specializations include investments for Individuals, businesses, and pooled investment vehicles.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CO
10/16/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (DENVER CO)
NY
09/19/2006 - 06/07/2013
GOLDMAN, SACHS & CO. (NEW YORK NY)
CO
01/22/2001 - 09/18/2006
J.P. MORGAN SECURITIES INC. (DENVER CO)
NY
08/21/1996 - 01/22/2001
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
IA
Issued 10/14/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/26/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/03/2007
Series 3 - National Commodity Futures Examination
BC
Issued 08/20/1996
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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