DB
Diane L. Brennan
LPL ENTERPRISE
Wilmington, NC 28401
Some features on this profile are disabled
CRD#: 4231314
DB
Professional summary
Diane Laura Brennan, who also goes by Diane Brennan Eberlin, Diane Laura Giannilivigni, Diane Brennan Jensen, Diane Laura Vural, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Wilmington, North Carolina.
Diane is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Diane has worked at 7 firms and has passed the Series 66, Series 6TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Diane Brennan Eberlin | Diane Laura Giannilivigni | Diane Brennan Jensen | Diane Laura Vural
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.
1.09/30/2024; PORT CITY FINANCIAL SERVICES; Non variable ins; No inv related; 2 hrs/mo non trading; 0 hr/mo trading; 06/01/2021 2. 09/30/2024; PORT CITY FINANCIAL SERVICES;; DBA plp; YES inv related; 120 hr/mo non trading; 4hr/mo trading ; 06/01/2021� 1) Home office in Leland, NC - Servicing two group health clients. I have had two small businesses in S. FL that I have provided their group health benefits for, for about 13 years. I probably spend no more than 12 hours per year TOTAL on both clients. PORT CITY FINANCIAL SERVICES, OUR MARKETING DBA POSITION: Senior Partner NATURE: Finance and Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 8 START DATE: 05/20/2021 ADDRESS: 1602 Harbor Drive, Wilmington NC 28401, United States DESCRIPTION: I am the Team Lead, so will set team meetings, do trainings, go on appointments with the other 2 partners. COMFORT KEEPERS POSITION: N/A NATURE: Healthcare and Social Assistance INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 04/01/2022 ADDRESS: 219 Racine Drive, Suite A3, Wilmington NC 28403, United States DESCRIPTION: Advise the owner re Health benefits and setting up a 401k THE SELLING OF HEALTH INSURANCE TO GROUPS AND INDIVIDUALS, FROM OUTSIDE COMPANIES THROUGH THE CASON GROUP OR BENEFITMALL. POSITION: Agent NATURE: Finance and Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 03/29/2021 ADDRESS: 1602 Harbour Drive, Wilmington NC 28401, United States DESCRIPTION: Run group or individual health proposals, present, enroll, service
CRS (Client Relationship Summary) - RIA
Click below to view Diane Laura Brennan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Diane Laura Brennan's 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®
NoneExperience
Current
October 17, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 1602 Harbour Drive, Wilmington, NC 28401RIA
BD
CRD#: 8733
Wilmington, NC
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 1602 Harbour Drive, Wilmington, NC 28401RIA
BD
CRD#: 8733
Wilmington, NC
Past
May 11, 2021 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
MT. PLEASANT, SC
Past
January 9, 2020 - February 24, 2021
W&S BROKERAGE SERVICES, INC.
BD
CRD#: 8099
Wilmington, NC
Past
January 2, 2013 - October 3, 2019
P.J. ROBB VARIABLE, LLC
BD
CRD#: 38339
Charlotte, NC
Past
September 23, 2009 - November 2, 2012
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
FORT LAUDERDALE, FL
Past
July 29, 2009 - November 2, 2012
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
FORT LAUDERDALE, FL
Past
November 14, 2002 - July 30, 2009
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
BOCA RATON, FL
Past
October 17, 2002 - July 30, 2009
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
BOCA RATON, FL
Past
September 20, 2000 - October 10, 2002
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
BOCA RATON, FL
Past
September 19, 2000 - October 10, 2002
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
District of Columbia(11/20/2024)
RR
Florida(11/18/2024)
RR
Georgia(5/22/2025)
RR
North Carolina(11/14/2024)
IAR
North Carolina(10/17/2025)
RR
Oregon(2/7/2025)
RR
Pennsylvania(1/3/2025)
RR
South Carolina(11/14/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
Company Information
LPL ENTERPRISE, LLC
CRD#: 8733Wilmington, NC 28401TRUST BUT VERIFY
Monitor Diane Brennan
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
