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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
NC RA APPROVED 2021-12-01
TX RA APPROVED 2021-12-01
  • NC RA
    APPROVED
    Since 2021-12-01
  • TX RA
    APPROVED
    Since 2021-12-01

Branch Locations

4521 Sharon Rd Suite 400, Charlotte, NC 28211 • United States

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
OrganizationCityStateFromTo
Carroll Financial Associates, Inc. Charlotte NC 11/2014 11/2021
Cetera Advisor Networks, Llc El Segundo CA 11/2014 11/2021
Lpl Financial, Llc Charlotte NC 11/2021 06/2025
Wealth Enhancement Advisory Services Llc Charlotte NC 11/2021 Present
Wealth Enhancement Group Charlotte NC 11/2021 Present
Wealth Enhancement Brokerage Services Charlotte NC 12/2021 Present
  • 11/2014 → 11/2021
    Carroll Financial Associates, Inc.
    Charlotte, NC
  • 11/2014 → 11/2021
    Cetera Advisor Networks, Llc
    El Segundo, CA
  • 11/2021 → 06/2025
    Lpl Financial, Llc
    Charlotte, NC
  • 11/2021 → Present
    Charlotte, NC
  • 11/2021 → Present
    Wealth Enhancement Group
    Charlotte, NC
  • 12/2021 → Present
    Wealth Enhancement Brokerage Services
    Charlotte, NC
Previous Registrations
Other Businesses

12/16/2021 - WEALTH ENHANCEMENT ADVISORY SERVICES LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - 160 Hours Per Month/7 Hours During Securities Trading - 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 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.advisorinfo.sec.gov/IAPD. 11/27/2023 - Mecklenburg County BOE - Non Inv Related - Charlotte, NC - Other - Election Day Poll Worker - Start Date: 11/7/2023 - 16 Hrs/Mo; 7 Hrs During Trading 03/10/2025 - EMILY REIDENOUER - Not Investment Related - Other - Farm/Agriculture - Rockwell, Iowa - Start Date: 03/01/2025 - 25 Hrs/Mth - 5 Hrs During Trading. Wealth Enhancement Group - Non-Investment Related - Charlotte, NC - Fixed Insurance - Financial Advisor - Start Date: 10/2025 - 1 Hour Spent Per Month, 1 Hour Spent During Trading Hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-07-12
S63 Uniform Securities Agent State Law Examination 2010-06-05
  • S65 Uniform Investment Adviser Law Examination
    2014-07-12
  • S63 Uniform Securities Agent State Law Examination
    2010-06-05
Other Names
  • Emily Benn Netzel

View on SEC IAPD

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