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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
MA RA APPROVED 2025-01-13
  • MA RA
    APPROVED
    Since 2025-01-13

Branch Locations

100 Summer St 16Th Floor, Office 64, Boston, MA 02110 • United States

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

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Smith Barney Portsmouth NH 01/2011 03/2017
Morgan Stanley Private Bank, National Association New York NY 01/2015 03/2017
Wells Fargo Clearing Services Llc Portland ME 03/2017 01/2019
Kestra Investment Services, Llc Boston MA 01/2019 02/2023
Kestra Advisory Services, Llc Boston MA 01/2019 02/2023
Mark Francis Photography Llc Boston MA 01/2018 Present
Oxygen Financial Boston, Llc Boston MA 01/2019 12/2024
Cwm, Llc Dba Carson Wealth Boston MA 02/2023 12/2024
Cwm, Llc Dba Carson Partners - Crd # 155344 Boston MA 02/2023 12/2024
Cetera Advisor Networks El Segundo CA 02/2023 12/2024
Wealth Enhancement Group Boston MA 01/2025 Present
Wealth Enhancement Advisory Services Boston MA 01/2025 Present
Wealth Enhancement Brokerage Services Boston MA 01/2026 Present
  • 01/2011 → 03/2017
    Morgan Stanley Smith Barney
    Portsmouth, NH
  • 01/2015 → 03/2017
    Morgan Stanley Private Bank, National Association
    New York, NY
  • 03/2017 → 01/2019
    Portland, ME
  • 01/2019 → 02/2023
    Kestra Investment Services, Llc
    Boston, MA
  • 01/2019 → 02/2023
    Boston, MA
  • 01/2018 → Present
    Mark Francis Photography Llc
    Boston, MA
  • 01/2019 → 12/2024
    Oxygen Financial Boston, Llc
    Boston, MA
  • 02/2023 → 12/2024
    Cwm, Llc Dba Carson Wealth
    Boston, MA
  • 02/2023 → 12/2024
    Cwm, Llc Dba Carson Partners - Crd # 155344
    Boston, MA
  • 02/2023 → 12/2024
    Cetera Advisor Networks
    El Segundo, CA
  • 01/2025 → Present
    Wealth Enhancement Group
    Boston, MA
  • 01/2025 → Present
    Wealth Enhancement Advisory Services
    Boston, MA
  • 01/2026 → Present
    Wealth Enhancement Brokerage Services
    Boston, MA
Previous Registrations
Other Businesses

MARK FRANCIS PHOTO - BOSTOM, MA - FREELANCE PHOTOGRAPHER - 2 HOURS PER MONTH, 0 HOUR DURING TRADING HOURS. WEALTH ENHANCEMENT GROUP - INVESTMENT RELATED - FIXED INSURANCE - SVP, FINANCIAL ADVISOR - START DATE: 04/2025 - 2 HOURS SPENT PER MONTH, 2 HOURS SPENT DURING TRADING HOURS. WEALTH ENHANCEMENT ADVISORY SERVICES - INVESTMENT RELATED - BOSTON, MA - ADVISORY SERVICES - START DATE 01/2025 - 40 HRS SPENT PER MONTH WITH 40 HRS DURING TRADING.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-05-11
S63 Uniform Securities Agent State Law Examination 1996-01-26
  • S66 Uniform Combined State Law Examination
    2006-05-11
  • S63 Uniform Securities Agent State Law Examination
    1996-01-26

View on SEC IAPD

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