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505 N Highway 169 Suite 900, Plymouth, MN 55441 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2021-12-09 |
| TX | RA | APPROVED | 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
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Advisor Networks Llc | El Segundo | CA | 01/2013 | 10/2021 |
| Carroll Financial Associates, Inc. | Charlotte | NC | 11/2001 | 11/2021 |
| Lpl Financial, Llc | Charlotte | NC | 11/2021 | 06/2025 |
| Wealth Enhancement Group | Charlotte | NC | 11/2021 | Present |
| Wealth Enhancement Advisory Services Llc | Charlotte | NC | 11/2021 | Present |
| Wealth Enhancement Brokerage Services | Charlotte | NC | 12/2021 | Present |
1) 12/16/2021: WEALTH ENHANCEMENT ADVISORY SERVICES LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date: 11/15/2021 - 40 Hours Per Month/6.5 Hours During Securities Trading - Time Spent 50% - 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 40 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.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-09-09 |
| S63 | Uniform Securities Agent State Law Examination | 1992-06-18 |
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