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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
CA RA APPROVED 2021-09-15
TX RA APPROVED 2021-09-14
  • CA RA
    APPROVED
    Since 2021-09-15
  • TX RA
    APPROVED
    Since 2021-09-14

Branch Locations

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

1850 Mt Diablo Blvd Suite 100, Walnut Creek, CA 94596 • 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
Jbc Financial Group, Inc Concord CA 04/1992 09/2021
Cetera Advisor Networks Llc El Segundo CA 01/2013 09/2021
Walnut Creek Wealth Management Walnut Creek CA 07/2017 09/2021
Lpl Financial Llc Walnut Creek CA 09/2021 06/2025
Wealth Enhancement Group Walnut Creek CA 09/2021 Present
Wealth Enhancement Advisory Serivices, Llc Walnut Creek CA 09/2021 Present
Wealth Enhancement Brokerage Services Walnut Creek CA 09/2021 Present
  • 04/1992 → 09/2021
    Jbc Financial Group, Inc
    Concord, CA
  • 01/2013 → 09/2021
    Cetera Advisor Networks Llc
    El Segundo, CA
  • 07/2017 → 09/2021
    Walnut Creek Wealth Management
    Walnut Creek, CA
  • 09/2021 → 06/2025
    Lpl Financial Llc
    Walnut Creek, CA
  • 09/2021 → Present
    Wealth Enhancement Group
    Walnut Creek, CA
  • 09/2021 → Present
    Wealth Enhancement Advisory Serivices, Llc
    Walnut Creek, CA
  • 09/2021 → Present
    Wealth Enhancement Brokerage Services
    Walnut Creek, CA
Previous Registrations
  • 2017-07-18 → 2021-10-08
    Walnut Creek Wealth Management
    Walnut Creek, CA
  • 2001-04-03 → 2021-09-15
    Cetera Wealth Services, Llc
    Walnut Creek, CA
    Pleasant Hill, CA
    Livermore, CA
    San Jose, CA
Other Businesses

1) 9/16/2021 - WEALTH ENHANCEMENT ADVISORY SERVICES LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 9-15-2021 - 144 Hours Per Month - Time Spent 90% - I provide investment advisory services through WEALTH ENHANCEMENT ADVISORY SERVICES LLC, an independent investment advisor firm. I started this business activity in 9/2021. I expect to spend approximately 144 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. 2) Wealth Enhancement Group - Non-Investment Related - Fixed Insurance - SVP, Financial Advisor - Start Date: 10/30/2025 - 1 Hour Spent Per Month, 0 Hours Spent During Trading Hours - Insurance Sales.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-03-02
S63 Uniform Securities Agent State Law Examination 1991-07-19
  • S65 Uniform Investment Adviser Law Examination
    2001-03-02
  • S63 Uniform Securities Agent State Law Examination
    1991-07-19
Designations
  • Certified Financial Planner
  • Chartered Financial Consultant

View on SEC IAPD

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