Diane Carol Brown

Current Employers

Wealth Enhancement Advisory Services, Llc

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

Current Registrations

Authority	Category	Status	Date
SC	RA	APPROVED	2025-07-10

SC RA
APPROVED

Since 2025-07-10

Branch Locations

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

Fort Mill, SC • 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

Organization	City	State	From	To
Advocacy Wealth	Mooresville	NC	03/2016	01/2018
Unemployed	Charlotte	NC	01/2018	08/2018
Collabera	Basking Ridge	NJ	08/2018	10/2018
Triad Advisors	Norcross	GA	10/2018	07/2019
Unemployed	Columbia	SC	08/2019	12/2019
Carolinas Wealth	Columbia	SC	01/2020	04/2020
Unemployed	Columbia	SC	04/2020	05/2020
Triad Advisors	Norcross	GA	05/2020	08/2024
Osaic Wealth, Inc.	Scottsdale	AZ	08/2024	06/2025
Wealth Enhancement Group	Fort Mill	SC	07/2025	Present
Wealth Enhancement Brokerage Services	Fort Mill	SC	07/2025	Present
Wealth Enhancement Advisory Services	Fort Mill	SC	07/2025	Present

03/2016 → 01/2018

Advocacy Wealth

Mooresville, NC
01/2018 → 08/2018

Unemployed

Charlotte, NC
08/2018 → 10/2018

Collabera

Basking Ridge, NJ
10/2018 → 07/2019

Triad Advisors

Norcross, GA
08/2019 → 12/2019

Unemployed

Columbia, SC
01/2020 → 04/2020

Carolinas Wealth

Columbia, SC
04/2020 → 05/2020

Unemployed

Columbia, SC
05/2020 → 08/2024

Triad Advisors

Norcross, GA
08/2024 → 06/2025

Osaic Wealth, Inc.

Scottsdale, AZ
07/2025 → Present

Wealth Enhancement Group

Fort Mill, SC
07/2025 → Present

Wealth Enhancement Brokerage Services

Fort Mill, SC
07/2025 → Present

Wealth Enhancement Advisory Services

Fort Mill, SC

Previous Registrations

2024-08-23 → 2025-07-10

Osaic Wealth, Inc.

Scottsdale, AZ
2020-07-15 → 2024-08-23

Triad Advisors Llc

Atlanta, GA
2019-07-01 → 2019-07-31

Triad Advisors Llc

Atlanta, GA
2016-05-12 → 2018-05-24

Advocacy Wealth Management, Llc

Mooresville, NC
2013-10-24 → 2015-06-30

Certus Investment Advisors, Llc

Charlotte, NC
2011-11-14 → 2013-10-14

Carolinas Investment Consulting Llc

Charlotte, NC
2010-06-02 → 2010-11-03

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Charlotte, NC
2008-01-10 → 2010-02-03

Lpl Financial Llc

Charlotte, NC

Chico, CA

Chico, CA

Fort Mill, SC

Charlotte, NC

Other Businesses

1)Tealbriar HOA;not investment related;Charlotte,NC;homeowner's association;president;1/2014;2 hrs/month;0 hrs during trading;handling the association's procedural duties,including managing HOA meetings,establishing the agenda and executing contracts and other legal documents for the HOA 2)Real estate;not investment related;Columbia,SC;real estate investor;owner;8/2008;8 hrs/month;0 hrs during trading;management of rental properties including tenant verification,collection of rent and property repairs 3)K & M Accounting And Tax Service L.L.C - Non-Investment Related - Charlotte, NC - Tax Preparer - Start Date: 09/2026 - 80 Hours Spent Per Month, 0 Hours Spent During Securities Trading Hours - Individual and small business tax preparation.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2008-01-09
S63	Uniform Securities Agent State Law Examination	1998-12-17

S66 Uniform Combined State Law Examination

2008-01-09
S63 Uniform Securities Agent State Law Examination

1998-12-17

View on SEC IAPD