Carole Browne

WEALTHSPIRE RETIREMENT ADVISORY

Warrington, PA 18976

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CRD#: 1715863

Professional summary

Carole Browne, who also goes by Carole Trice, is a registered financial advisor currently at WEALTHSPIRE RETIREMENT ADVISORY located in Warrington, Pennsylvania.

Carole is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Carole has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Carole Trice

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Rental Property: 100% owner of a rental property in North Wales,PA 19454. Purchased in 2011 rented since 2013. NON Investment ralated.,I hour per month outside business hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carole Browne's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 27, 2020 - Present

WEALTHSPIRE RETIREMENT ADVISORY

Office #1: 2600 Kelly Road Suite 210, Warrington, PA 18976

RIA

CRD#: 121254

Warrington, PA

Past

April 20, 2015 - January 17, 2020

ONEAMERICA SECURITIES, INC.

CRD#: 4173

INDIANAPOLIS, IN

Past

February 1, 2003 - August 1, 2005

TRANSAMERICA INVESTORS SECURITIES, LLC

CRD#: 32205

HARRISON, NY

Past

November 23, 2001 - February 1, 2003

TRANSAMERICA SECURITIES SALES CORPORATION

CRD#: 17970

LOS ANGELES, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WEALTHSPIRE RETIREMENT ADVISORY

CRD#: 121254 / SEC#: 801-66107

RIA

Registered Investment Advisory firm - (1/31/2006 Approved)

California

Registered Investment Advisory firm - (2/9/2006 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Pennsylvania
(8/27/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/27/2020

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/16/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 4/20/2015

Investment Company Products/Variable Contracts Representative Examination

Current Firm

WEALTHSPIRE RETIREMENT ADVISORY

CRD#: 121254 / SEC#: 801-66107

RIA

Registered Investment Advisory firm - (1/31/2006 Approved)

California

Registered Investment Advisory firm - (2/9/2006 Terminated)

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Contact information

Main Address

120 Vantis Suite 400, Aliso Viejo, CA 92656

Mailing Address

Phone number

(949) 460-9898

Established

Firm type

Fiscal year end

# of Employees

240

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NFP RETIREMENT (11/20/2025)

Regulatory assets under management

Total Number of Accounts	9,394
AUM (Assets Under Management)	$ 118,031,461,765

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Carole Browne

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carole Browne's CRS (Customer Relationship Summary).

Certified licenses

Experience

ONEAMERICA SECURITIES, INC.

TRANSAMERICA INVESTORS SECURITIES, LLC

TRANSAMERICA SECURITIES SALES CORPORATION

Primary Firm SEC Registration

WEALTHSPIRE RETIREMENT ADVISORY

State Registrations and Notice Filings

Exams

Series 65

Date: 8/27/2020

Series 63

Date: 4/16/2015

SIE

Date: 10/1/2018

Series 6

Date: 4/20/2015

Current Firm

WEALTHSPIRE RETIREMENT ADVISORY

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WEALTHSPIRE RETIREMENT ADVISORY

TRUST BUT VERIFY

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