Denise Diana has been Principal Director of Envestnet Retirement Solutions since March 2025, is a control person of the firm and directly owns under 5% of it.
Envestnet Retirement Solutions, LLC is a Berwyn, PA firm with $16.3B under management, 4,876 clients and 15 advisers in one office, as of its June 2026 filing.
Denise Diana’s longest registration is the current one, 10 years at Envestnet Retirement Solutions since 2016. Before joining Envestnet Retirement Solutions in 2016, Denise Diana was registered through Charles Schwab & Co., Inc. and Prudential Retirement Brokerage Services, Inc.
- Envestnet PMCAlso current– present · 4 yearsManchester, CT · Adviser representative · Firm CRD 111694
- – present · 10 yearsmanchester, CT · Adviser representative · Firm CRD 171570
- Charles Schwab & Co., Inc.– · under a yearRichfield, OH · Adviser representative · Firm CRD 5393
- Prudential Retirement Brokerage Services, Inc.– · 3 yearsHartford, CT · Adviser representative · Firm CRD 40596
Investment adviser representative registrations
Denise Diana is registered as an investment adviser representative in 2 states. Each was approved in August 2016.
- ConnecticutSince 23 August 2016
- IllinoisSince 23 August 2016
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 26 | Investment Company Products/Variable Contracts Principal Examination | 4 December 2006 |
| Series 66 | Uniform Combined State Law Examination | 7 November 2000 |
| Series 7 | General Securities Representative Examination | 29 June 2000 |
- Name
- Investment Company Products/Variable Contracts Principal Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Denise Marie Diana
- CRD
- 4147113
- Firm
- Envestnet Retirement Solutions · CRD 171570
- Role
- Principal Director
- Office
- manchester, CT
- Registration
- Investment adviser registration
- In the industry since
- August 2012
- Disciplinary history
- Not yet shown here · SEC record
Where does Denise Diana work?
Denise Diana has been Principal Director of Envestnet Retirement Solutions, LLC since March 2025, and is a control person of the firm.
Is Denise Diana a financial advisor?
Yes. Denise Diana has a current investment-adviser registration in Connecticut and Illinois, through Envestnet Retirement Solutions since August 2016.
How many years of experience does Denise Diana have?
Denise Diana has 14 years in the financial industry, since August 2012, across 4 adviser firms.
What exams has Denise Diana passed?
Denise Diana has passed 3 licensing exams: the Series 7, Series 66 and Series 26. The earliest, the Series 7, was passed in June 2000.
Where did Denise Diana work before Envestnet Retirement Solutions?
Before Envestnet Retirement Solutions, Denise Diana was registered through Charles Schwab & Co., Inc., January 2009 to March 2009; Prudential Retirement Brokerage Services, Inc., January 2001 to December 2004.
Where is Denise Diana based?
Denise Diana’s registered office is in manchester, CT.
Is Denise Diana registered with FINRA?
No. Denise Diana has no current broker registration.
How can I verify Denise Diana’s record?
Search CRD 4147113 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Denise Diana’s full registration record.
- Christopher ToddChief Executive Officer
- Erik PreusPresident
- John HofmannChief Financial Officer
- Debra DevoeChief Compliance Officer
- Dana D'AuriaCo-Chief Investment Officer
- Kathryn EvansChief Operations Officer
- Shelly O'BrienCorporate Secretary