Roger Mcconnell

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2001 → 09/2018
  Raymond James Financial Services, Inc
  Lompoc, CA
• 09/2001 → 05/2017
  Stillman Capital Group
  Lompoc, CA
• 01/2009 → 09/2018
  Raymond James Financial Services Advisors, Inc
  Lompoc, CA
• 10/2018 → 01/2022
  Vivid Financial Management, Inc.
  Lompoc, CA
• 11/2018 → 01/2022
  Mutual Securities, Inc.
  Camarillo, CA
• 01/2022 → 06/2025
  Lpl Financial, Llc
  Orcutt, CA
• 01/2022 → Present
  Wealth Enhancement Group
  Lompoc, CA
• 01/2022 → Present
  Wealth Enhancement Advisory Services
  Lompoc, CA
• 01/2022 → Present
  Wealth Enhancement Brokerage Services
  Lompoc, CA

Previous Registrations

• 2018-10-09 → 2022-01-07
  Vivid Financial Management, Inc.
  Lompoc, CA
• 2009-09-29 → 2018-10-03
  Raymond James Financial Services Advisors, Inc
  Lompoc, CA
  Lompoc, CA
• 2003-01-08 → 2009-12-31
  Stillman Capital Group
  Lompoc, CA

Other Businesses

Real Estate Rental - ROBERT M COE INC - Investment Related - 4376 Scorpio Rd Lompoc, CA 93436 WEALTH ENHANCEMENT ADVISORY SERVICES LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date: 12/2021 - 150 Hours Per Month - Time Spent 100% - I provide investment advisory services through WEALTH ENHANCEMENT ADVISORY SERVICES LLC, an independent investment advisor firm. I started this business activity in 12/2021. I expect to spend approximately 150 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. LOMPOC VALLEY MEDICAL CENTER - Not Investment Related - 1515 E. Ocean Ave., Lompoc, CA 93436 - Non-Profit Board Member - Start Date: 12/04/2020 - 2 Hours Per Month. Real Estate Rental - Investment Related - Lompoc, CA - Start Date 01/31/2024 - 1 Hour Per Month/ 0 Hours During Trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2002-09-03
• S63 Uniform Securities Agent State Law Examination
  2001-08-17

Other Names

• Roger James Mcconnell