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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

AuthorityCategoryStatusDate
TX RA APPROVED 2022-01-25
NC RA APPROVED 2021-12-01
SC RA APPROVED 2021-12-01
  • TX RA
    APPROVED
    Since 2022-01-25
  • NC RA
    APPROVED
    Since 2021-12-01
  • SC RA
    APPROVED
    Since 2021-12-01

Branch Locations

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

331 E Main St Suite 403, Rock Hill, SC 29730 • 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
OrganizationCityStateFromTo
Cetera Advisor Networks Llc El Segundo CA 04/2015 11/2021
Carroll Financial Associates, Inc. Charlotte NC 03/2015 11/2021
Lpl Financial Llc Rock Hill SC 11/2021 06/2025
Wealth Enhancement Advisory Services, Llc Rock Hill SC 11/2021 Present
Wealth Enhancement Group Rock Hill SC 12/2021 Present
Wealth Enhancement Brokerage Services Rock Hill SC 12/2021 Present
  • 04/2015 → 11/2021
    Cetera Advisor Networks Llc
    El Segundo, CA
  • 03/2015 → 11/2021
    Carroll Financial Associates, Inc.
    Charlotte, NC
  • 11/2021 → 06/2025
    Lpl Financial Llc
    Rock Hill, SC
  • 11/2021 → Present
    Rock Hill, SC
  • 12/2021 → Present
    Wealth Enhancement Group
    Rock Hill, SC
  • 12/2021 → Present
    Wealth Enhancement Brokerage Services
    Rock Hill, SC
Previous Registrations
  • 2015-11-11 → 2021-12-08
    Carroll Financial Associates Inc
    Charlotte, NC
    Rock Hill, SC
Other Businesses

VINEYARD CHURCH OF ROCK HILL- pastor- non-inv. related- Rock Hill, SC- 40hrs/mth Carroll Financial - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 1/1/2017 - 5 Hours Per Month - Time Spent 5%. WEALTH ENHANCEMENT ADVISORY SERVICES, LLC - DBA: (Hybrid) Wealth Enhancement Advisory Services - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 11/1/2021 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 95% - I provide investment advisory services through Wealth Enhancement Advisory Services, an independent investment advisor firm. I started this business activity in 11/2021. I expect to spend approximately 160 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

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-11-04
  • S66 Uniform Combined State Law Examination
    2015-11-04
Designations
  • Certified Financial Planner
Other Names
  • Ben Ganson

View on SEC IAPD

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