Kate Elizabeth Maier

Employer firm

Wealth Enhancement Advisory Services, LLC CRD 116407

$122B regulatory AUM 327 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Pension consulting
Selection of other advisers
Educational seminars
ERISA 3(38) INVESTMENT MANAGER

From the firm’s Form ADV. Read the guides:

Current Employers

Wealth Enhancement Advisory Services, Llc

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

Current Registrations

Authority	Category	Status	Date
MN	RA	APPROVED	2014-01-02

MN RA
APPROVED

Since 2014-01-02

Branch Locations

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

Organization	City	State	From	To
Lpl Financial, Llc	Plymouth	MN	05/2007	11/2023
Wealth Enhancement Group, Llc	Plymouth	MN	05/2007	Present
Wealth Enhancement Brokerage Services, Llc	Plymouth	MN	09/2007	Present
Wealth Enhancement Adsvisory Services	Plymouth	MN	01/2014	Present

05/2007 → 11/2023

Lpl Financial, Llc

Plymouth, MN
05/2007 → Present

Wealth Enhancement Group, Llc

Plymouth, MN
09/2007 → Present

Wealth Enhancement Brokerage Services, Llc

Plymouth, MN
01/2014 → Present

Wealth Enhancement Adsvisory Services

Plymouth, MN

Other Businesses

1. 11/21/2013: OTHER - NOTARY PUBLIC - TIME SPENT 1% - PLYMOUTH, MN. 2. 7/21/2016: Kate Maier, Attorney-at-Law - Not Investment Related - Home Based - Other-Legal Services - Started 01/01/2015 - 3 Hours Per Month/0 Hours During Securities Trading - Attorney.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-09-25

S66 Uniform Combined State Law Examination

2007-09-25

Designations

Certified Financial Planner

View on SEC IAPD