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RIA / WealthAdvisor36 years in industry

KAREN LUCINDA DIAMOND

Advisor at FOUNDERS FINANCIAL ALLIANCE, LLC

Sarasota, FL

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Search this name across graphsid dfx:ria:12733cc9-ab25-a4ac-b62b-53c878c56ca5

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:42 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jul 28, 1999 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: FOUNDERS FINANCIAL ALLIANCE, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 13, 1990earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S65|S66|S63
First exam: Sep 13, 1990
First registration: Jul 28, 1999
Dual registered: no
Other names: KAREN L VACCARO DIAMOND|KAREN LUCINDA DIAMOND|KAREN DIAMOND|KAREN LUCINDA DIAMOND|KAREN LUCINDA DIAMOND BOORSTEIN
IAPD individual key: 2040547

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
FOUNDERS FINANCIAL ALLIANCE, LLC	Independent wealth	Oct 7, 2024	n/a	yes	Sarasota, FL	Current employment
WELLS FARGO ADVISORS	Wirehouse	Mar 24, 2016	Oct 23, 2024	no	DURHAM, NC\|CHAPEL HILL, NC\|SARASOTA, FL\|CHAPEL HILL, NC\|Sarasota, FL	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Apr 11, 2016	no	CHAPEL HILL, NC	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Jun 1, 2009	no	CHAPEL HILL, NC\|RALEIGH, NC\|DURHAM, NC	Previous registration
MORGAN STANLEY DW INC.	n/a	Sep 1, 2006	Apr 2, 2007	no	RALEIGH, NC\|DURHAM, NC	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jul 28, 1999	Sep 6, 2006	no	CHAPEL HILL, NC	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
WELLS FARGO ADVISORS	FOUNDERS FINANCIAL ALLIANCE, LLC	Oct 23, 2024	Oct 7, 2024	-16	Firm change	Wirehouse to RIA
MORGAN STANLEY	WELLS FARGO ADVISORS	Apr 11, 2016	Mar 24, 2016	-18	Firm change	Wirehouse to wirehouse
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	MORGAN STANLEY DW INC.	Sep 6, 2006	Sep 1, 2006	-5	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
19616:173011:FL:2024-10-23	Oct 23, 2024	Oct 7, 2024	SARASOTA, FL	Firm change
149777:19616:NC:2016-04-08	Apr 11, 2016	Mar 24, 2016	CHAPEL HILL, NC	Firm change

Relationships

Registered with (6)

→ FOUNDERS FINANCIAL ALLIANCE, LLCRegistered adviserregistration: current employment
Oct 7, 2024 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Mar 24, 2016 to Oct 23, 2024factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Apr 11, 2016factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Sep 1, 2006 to Apr 2, 2007factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jul 28, 1999 to Sep 6, 2006factForm ADV

Dated events

Occurred
Oct 23, 2024
Advisor changed firm
Karen Lucinda Diamond left Wells Fargo Advisors for Founders Financial Alliance, Llc (registered 2024-10-07)
Form ADVobserved 6 days ago