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RIA / WealthAdvisor27 years in industry

Diane Carol Brown

Advisor at WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

FORT MILL, SC | PLYMOUTH, MN

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Search this name across graphsid dfx:ria:23eca9e6-c50b-ff1f-7840-e7c9ee86a614

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:34 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Jan 10, 2008 to Sep 15, 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: WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 17, 1998earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 8
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Dec 17, 1998
First registration: Jan 10, 2008
Dual registered: no
IAPD individual key: 3160244

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
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC	Bd affiliated wealth	Jul 10, 2025	n/a	yes	PLYMOUTH, MN\|FORT MILL, SC	Current employment
OSAIC WEALTH, INC.	Bd affiliated wealth	Aug 23, 2024	Jul 10, 2025	no	SCOTTSDALE, AZ	Previous registration
TRIAD ADVISORS, LLC	Former SEC adviser	Jul 15, 2020	Aug 23, 2024	no	ATLANTA, GA	Previous registration
TRIAD ADVISORS, LLC	Former SEC adviser	Jul 1, 2019	Jul 31, 2019	no	ATLANTA, GA	Previous registration
ADVOCACY WEALTH MANAGEMENT, LLC	Independent wealth	May 12, 2016	May 24, 2018	no	Mooresville, NC	Previous registration
CERTUS INVESTMENT ADVISORS, LLC	Former SEC adviser	Oct 24, 2013	Jun 30, 2015	no	CHARLOTTE, NC	Previous registration
CAROLINAS INVESTMENT CONSULTING LLC	Former SEC adviser	Nov 14, 2011	Oct 14, 2013	no	CHARLOTTE, NC	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jun 2, 2010	Nov 3, 2010	no	CHARLOTTE, NC	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Jan 10, 2008	Feb 3, 2010	no	CHARLOTTE, NC\|CHICO, CA\|CHICO, CA\|FORT MILL, SC\|CHARLOTTE, 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
OSAIC WEALTH, INC.	WEALTH ENHANCEMENT ADVISORY SERVICES, LLC	Jul 10, 2025	Jul 10, 2025	0	Firm change	Ibd to ibd
TRIAD ADVISORS, LLC	OSAIC WEALTH, INC.	Aug 23, 2024	Aug 23, 2024	0	Bulk transfer	Ibd to ibd
ADVOCACY WEALTH MANAGEMENT, LLC	TRIAD ADVISORS, LLC	May 24, 2018	Jul 1, 2019	403	Firm change after gap	RIA to ibd
CERTUS INVESTMENT ADVISORS, LLC	ADVOCACY WEALTH MANAGEMENT, LLC	Jun 30, 2015	May 12, 2016	317	Firm change	Other
CAROLINAS INVESTMENT CONSULTING LLC	CERTUS INVESTMENT ADVISORS, LLC	Oct 14, 2013	Oct 24, 2013	10	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	CAROLINAS INVESTMENT CONSULTING LLC	Nov 3, 2010	Nov 14, 2011	376	Firm change	Other
LPL FINANCIAL LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Feb 3, 2010	Jun 2, 2010	119	Firm change	Other

Relationships

Registered with (8)

→ WEALTH ENHANCEMENT ADVISORY SERVICES, LLCRegistered adviserregistration: current employment
Jul 10, 2025 to presentfactForm ADV
→ OSAIC WEALTH, INC.Registered adviserregistration: previous registration
Aug 23, 2024 to Jul 10, 2025factForm ADV
→ TRIAD ADVISORS, LLCRegistered adviserregistration: previous registration
Jul 15, 2020 to Aug 23, 2024factForm ADV
→ ADVOCACY WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
May 12, 2016 to May 24, 2018factForm ADV
→ CERTUS INVESTMENT ADVISORS, LLCRegistered adviserregistration: previous registration
Oct 24, 2013 to Jun 30, 2015factForm ADV
→ CAROLINAS INVESTMENT CONSULTING LLCRegistered adviserregistration: previous registration
Nov 14, 2011 to Oct 14, 2013factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jun 2, 2010 to Nov 3, 2010factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Jan 10, 2008 to Feb 3, 2010factForm ADV

Dated events

Occurred
Jul 10, 2025
Advisor changed firm
Diane Carol Brown left Osaic Wealth, Inc. for Wealth Enhancement Advisory Services, Llc (registered 2025-07-10)
Form ADVobserved 6 days ago