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Diane Garcia Spiegel

Wealth Enhancement Advisory Services, LLC

Oakland, CA

Plymouth, MN

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Current Employers
Wealth Enhancement Advisory Services, Llc

505 N Highway 169 Suite 900, Plymouth, MN 55441 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-05-17
  • CA RA
    APPROVED
    Since 2025-05-17

Branch Locations

6201 Medau Pl Suite 101, Oakland, CA 94611 • United States

505 N Highway 169 Suite 900, Plymouth, MN 55441 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ginsburg Financial Advisors Oakland CA 04/2015 11/2022
Wealth Enhancement Group Oakland CA 11/2022 Present
Wealth Enhancement Advisory Services Oakland CA 02/2025 Present
  • 04/2015 → 11/2022
    Ginsburg Financial Advisors
    Oakland, CA
  • 11/2022 → Present
    Wealth Enhancement Group
    Oakland, CA
  • 02/2025 → Present
    Wealth Enhancement Advisory Services
    Oakland, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2025-05-16
S63 Uniform Securities Agent State Law Examination 1995-03-06
  • S65 Uniform Investment Adviser Law Examination
    2025-05-16
  • S63 Uniform Securities Agent State Law Examination
    1995-03-06
Other Names
  • Diane Garcia
  • Diane Garcia
  • Diane Garcia Speigel
  • Diane Garcia Spiegel
  • Diane Garcia Spiegel
  • Diane Garciaspiegel

View on SEC IAPD

Other Firms

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STATE FARM INVESTMENT MANAGEMENT CORP.
FM CAPITAL GROUP
FULL SPECTRUM CAPITAL MANAGEMENT COMPANY, LLC
FINANCIAL AVENGERS, INC.

Other Investors

GREGORY BURTON GILBERT
STERLING CARMEN HIRSCH
Mark CHRISTOPHER DeVito
Daire Peter Heneghan
Roscoe Herman Harris
AARON KURT PHILLIPS
WILLIAM STUART MONSTED
Randall w Silvey

Other Offices

INFINITY FINANCIAL SERVICES ADVISORY · OAKLAND, CA
CETERA INVESTMENT ADVISERS LLC · OAKLAND, CA
HOODOO · OAKLAND, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · OAKLAND, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · Oakland, CA
FM CAPITAL GROUP · OAKLAND, CA
FULL SPECTRUM CAPITAL MANAGEMENT COMPANY, LLC · OAKLAND, CA
FINANCIAL AVENGERS, INC. · OAKLAND, CA

More in Oakland, CA

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