Diane S. Wegrich

Some features on this profile are disabled

CRD#: 729678

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Diane Scharlau Wegrich MRS, who also goes by Diane Karbo, Diane Scharlau, Diane Scharlau Wegrich, was a registered financial professional .

Diane is a previously registered financial professional and started their career in finance in 1981. Diane had worked at 11 firms and has passed the Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Diane Karbo | Diane Scharlau | Diane Scharlau Wegrich

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 10, 2011 - March 11, 2019

ALLGEN FINANCIAL ADVISORS, INC.

RIA

CRD#: 126877

ORLANDO, FL

Past

July 31, 1997 - December 31, 2010

BAVARD INC.

RIA

CRD#: 119932

TEQUESTA, FL

Past

September 11, 1995 - October 26, 1999

NCE SECURITIES, INC.

CRD#: 10079

TWINSBURG, OH

Past

August 3, 1988 - December 31, 1993

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

May 27, 1988 - June 20, 1988

VESTAX SECURITIES CORPORATION

CRD#: 10332

HUDSON, OH

Past

October 21, 1987 - June 8, 1988

AMERICAN PACIFIC SECURITIES CORPORATION

CRD#: 5003

Past

August 15, 1985 - June 8, 1988

AMERICAN PACIFIC SECURITIES CORPORATION

CRD#: 5003

Past

December 5, 1984 - August 20, 1985

UNIVERSAL HERITAGE INVESTMENTS CORPORATION

CRD#: 32

Past

December 23, 1981 - December 21, 1984

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

CRD#: 5774

Past

May 6, 1981 - November 20, 1983

AMERICAN EXPRESS FINANCIAL CORPORATION

CRD#: 6320

Past

May 6, 1981 - November 20, 1983

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Past

May 6, 1981 - November 20, 1983

IDS LIFE INSURANCE COMPANY

CRD#: 6321

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".

ALLGEN FINANCIAL ADVISORS, INC.

ALLGEN FINANCIAL ADVISORS, INC. | GOOD RISK REWARD, INC. | ALLGEN, INC. | ALLGEN FINANCIAL SERVICES, INC.

CRD#: 126877 / SEC#: 801-80077

RIA

Registered Investment Advisory firm - (7/15/2014 Approved)

Alabama

Registered Investment Advisory firm - (9/18/2014 Terminated)

Florida

Registered Investment Advisory firm - (8/28/2014 Terminated)

New Jersey

Registered Investment Advisory firm - (7/29/2014 Terminated)

New York

Registered Investment Advisory firm - (8/28/2014 Terminated)

Ohio

Registered Investment Advisory firm - (8/28/2014 Terminated)

Texas

Registered Investment Advisory firm - (8/28/2014 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.

Visual representation of state registrations

This advisor is not registered in any state.

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

General Industry/Product Exam

Series 7

Date: 11/19/1988

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/4/1981

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ALLGEN FINANCIAL ADVISORS, INC.

ALLGEN FINANCIAL ADVISORS, INC. | GOOD RISK REWARD, INC. | ALLGEN, INC. | ALLGEN FINANCIAL SERVICES, INC.

CRD#: 126877 / SEC#: 801-80077

RIA

Registered Investment Advisory firm - (7/15/2014 Approved)

Alabama

Registered Investment Advisory firm - (9/18/2014 Terminated)

Florida

Registered Investment Advisory firm - (8/28/2014 Terminated)

New Jersey

Registered Investment Advisory firm - (7/29/2014 Terminated)

New York

Registered Investment Advisory firm - (8/28/2014 Terminated)

Ohio

Registered Investment Advisory firm - (8/28/2014 Terminated)

Texas

Registered Investment Advisory firm - (8/28/2014 Terminated)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

100 W. Lucerne Circle Suite 200, Orlando, FL 32801

Mailing Address

Phone number

(407) 210-3888

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE (8/7/2025)

Regulatory assets under management

Total Number of Accounts	2,319
AUM (Assets Under Management)	$ 392,518,934

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.

Similar Advisors

Guy Peel

OSAIC WEALTH, INC.

IAR

Helena, MT

Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

IAR

Estero, FL

Jeffrey Meotti

MORGAN STANLEY

IAR

MADISON, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Diane S. Wegrich

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ALLGEN FINANCIAL ADVISORS, INC.

BAVARD INC.

NCE SECURITIES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

VESTAX SECURITIES CORPORATION

AMERICAN PACIFIC SECURITIES CORPORATION

AMERICAN PACIFIC SECURITIES CORPORATION

UNIVERSAL HERITAGE INVESTMENTS CORPORATION

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

AMERICAN EXPRESS FINANCIAL CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

Primary Firm SEC Registration

ALLGEN FINANCIAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 7

Date: 11/19/1988

Series 6

Date: 5/4/1981

Current Firm

ALLGEN FINANCIAL ADVISORS, INC.

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALLGEN FINANCIAL ADVISORS, INC.

TRUST BUT VERIFY

Similar Advisors