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Diane Olga Palombo

Foreside Fund Services, LLC

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About Diane Olga Palombo

Diane Palombo is a financial professional with over 20 years of experience in the industry. Diane currently works for Foreside Fund Services, LLC as a registered representative. Diane has a strong background in the financial services industry, having held previous roles at Oppenheimer & Co. Inc., Prudential Securities Incorporated, Warburg Dillon Read LLC, SBC Warburg Dillon Read Inc., Smith Barney Inc., Bear, Stearns & Co. Inc., CS First Boston Corporation, Morgan Stanley & Co., Incorporated, and Hanover, Sterling & Company LTD. Diane is registered in Connecticut and New York.

Firm Information

Diane Palombo is currently registered with Foreside Fund Services, LLC. Foreside Fund Services, LLC is a Limited Liability Company formed in 1998. It is registered to conduct business in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. It has also been approved for SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

625

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.

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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Diane Palombo’s Registration & Firm History

CT

04/03/2013 - Present

Foreside Fund Services, LLC (Stamford CT)

NY

06/28/2011 - 01/04/2012

OPPENHEIMER & CO. INC. (WHITE PLAINS NY)

NY

04/21/1999 - 10/22/2001

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

NY

06/29/1998 - 04/21/1999

WARBURG DILLON READ LLC (NEW YORK NY)

CT

04/20/1998 - 06/29/1998

SBC WARBURG DILLON READ INC. (STAMFORD CT)

NY

01/23/1998 - 04/01/1998

SMITH BARNEY INC. (NEW YORK NY)

NY

04/20/1995 - 01/15/1998

BEAR, STEARNS & CO. INC. (NEW YORK NY)

NY

08/08/1994 - 04/04/1995

CS FIRST BOSTON CORPORATION (NEW YORK NY)

NY

01/30/1993 - 08/11/1994

MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)

NY

08/24/1992 - 03/11/1993

HANOVER, STERLING & COMPANY LTD. (NEW YORK NY)

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Licenses & Designations

BC

Issued 07/11/2015

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/27/2011

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Diane Olga Palombo.
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