Nicholas Andrew Roth

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	2020-12-14

MN RA
APPROVED

Since 2020-12-14

Branch Locations

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

810 Madison Ave Suite 1, Mankato, MN 56001 • 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
Secured Retirement Financial	Saint Louis Park	MN	01/2019	11/2019
Creighton University	Omaha	NE	09/2015	01/2017
University Of St. Thomas	St. Paul	MN	01/2017	05/2019
Unemployed	Minneapolis	MN	12/2019	09/2020
Lpl Financial	Mankato	MN	09/2020	06/2025
Wealth Enhancement Brokerage Services	Mankato	MN	09/2020	Present
Wealth Enhancement Group	Mankato	MN	09/2020	Present
Wealth Enhancement Advisory Services	Mankato	MN	09/2020	Present

01/2019 → 11/2019

Secured Retirement Financial

Saint Louis Park, MN
09/2015 → 01/2017

Creighton University

Omaha, NE
01/2017 → 05/2019

University Of St. Thomas

St. Paul, MN
12/2019 → 09/2020

Unemployed

Minneapolis, MN
09/2020 → 06/2025

Lpl Financial

Mankato, MN
09/2020 → Present

Wealth Enhancement Brokerage Services

Mankato, MN
09/2020 → Present

Wealth Enhancement Group

Mankato, MN
09/2020 → Present

Wealth Enhancement Advisory Services

Mankato, MN

Other Businesses

WEALTH ENHANCEMENT ADVISORY SERVICES LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid Start Date - 06/22/2020 - 160 Hours Per Month/ 160 Hours During Securities Trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2020-11-23

S66 Uniform Combined State Law Examination

2020-11-23

Designations

Certified Financial Planner

View on SEC IAPD