Katy Chase

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
MD	RA	APPROVED	2021-07-01

MD RA
APPROVED

Since 2021-07-01

Branch Locations

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

164 W Main St Suite F, New Market, MD 21774 • 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
First Allied Securities, Inc	San Diego	CA	06/2014	10/2019
Lighthouse Financial Advisors D/B/A Lighthouse Wealth Management	New Market	MD	07/2015	06/2021
Lpl Financial, Llc	New Market	MD	06/2021	06/2025
Wealth Enhancement Group	Plymouth	MN	07/2021	Present
Wealth Enhancement Advisory Group, Llc	Plymouth	MN	07/2021	Present
Wealth Enhancement Brokerage Services	Plymouth	MN	07/2021	Present

06/2014 → 10/2019

First Allied Securities, Inc

San Diego, CA
07/2015 → 06/2021

Lighthouse Financial Advisors D/B/A Lighthouse Wealth Management

New Market, MD
06/2021 → 06/2025

Lpl Financial, Llc

New Market, MD
07/2021 → Present

Wealth Enhancement Group

Plymouth, MN
07/2021 → Present

Wealth Enhancement Advisory Group, Llc

Plymouth, MN
07/2021 → Present

Wealth Enhancement Brokerage Services

Plymouth, MN

Previous Registrations

2014-01-28 → 2021-07-23

Lighthouse Wealth Management

New Market, MD

Other Businesses

Non-Variable Insurance - Inv Rel - At Reported Business Location(s) - Start: 01/2014 - 10 Hr/Mth PURPOSEFUL WEALTH MANAGEMENT LLC - Business Entity For Tax/Investment Purposes Only - Non-Inv Rel - New Market, MD - Start: 12/2017 WEALTH ENHANCEMENT ADVISORY SERVICES LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - FINANCIAL ADVISOR - Start Date: 7/1/2021 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 99% - I provide investment advisory services through WEALTH ENHANCEMENT ADVISORY SERVICES LLC, an independent investment advisor firm. I started this business activity in 7/2021. 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.adviserinfo.sec.gov/IAPD.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2013-09-26

S66 Uniform Combined State Law Examination

2013-09-26

Designations

Certified Financial Planner

Other Names

Katy Lynn Hartz
Katy Lynn Chase

View on SEC IAPD