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Diane McCarthy

Executive Vice-President/Chief Financial Officer/Principal Financial Officer/Elected Manager at Lincoln Investment Planning

Broker registration; no current adviser registrationSEC record checked 18 October 2026

0
Past adviser firms
3
Licensing exams

IAPD record retrieved 18 October 2026SEC record

Diane McCarthy is Executive Vice-President/Chief Financial Officer/Principal Financial Officer/Elected Manager of Lincoln Investment Planning, LLC, a Fort Washington investment adviser managing $22B. Diane McCarthy has a current broker registration and no current investment-adviser registration and has passed the Series 27, SIE and Series 99TO.

Role at Lincoln Investment Planning

Title on Schedule A
Executive Vice-President/Chief Financial Officer/Principal Financial Officer/Elected Manager
Control
Diane McCarthy is a control person of Lincoln Investment Planning.
Ownership
An individual ownership band is not available in the source record.
Tenure
Diane McCarthy has held the filed role since September 2018.

The firm

Lincoln Investment Planning, LLC
Fort Washington, PA

Form ADV filed 20 July 2026

$22B AUM138,369 clients874 advisers26 offices

Career on record

Firms and exams, newest first
  1. Passed SIE and Series 99TO · 2023
  2. Passed Series 27 · 2018

Registrations and exams

Broker registration; no current adviser registration. Diane McCarthy has passed 3 qualifying exams.

Examinations

Series 2728 August 2018
Name
Financial and Operations Principal Examination
SIE2 January 2023
Name
Securities Industry Essentials Examination
Series 99TO2 January 2023
Name
Operations Professional Examination

Individual record

Full name
Diane Mulherrin McCarthy
CRD
4923328
Firm
Lincoln Investment Planning, LLC
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Diane McCarthy work?

Diane McCarthy has been Executive Vice-President/Chief Financial Officer/Principal Financial Officer/Elected Manager of Lincoln Investment Planning, LLC since September 2018, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 20 July 2026

Does Diane McCarthy have a current investment-adviser registration?

Diane McCarthy has a current broker registration and no current investment-adviser registration, as of 18 October 2026.

Source: IAPD individual record, checked 18 October 2026

What exams has Diane McCarthy passed?

Diane McCarthy has passed 3 licensing exams: the Series 27, SIE and Series 99TO. The earliest, the Series 27, was passed in August 2018.

Source: IAPD individual record, checked 18 October 2026

Leadership at Lincoln Investment Planning

Sources

  1. IAPD individual record, CRD 4923328. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Lincoln Investment Planning, LLC, filed 20 July 2026. Title, control and ownership bands.

Retrieved 18 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Diane McCarthy or Lincoln Investment Planning, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.