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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
TX RA APPROVED 2016-08-08
  • TX RA
    APPROVED
    Since 2016-08-08

Branch Locations

1800 W Loop S Suite 1900, Houston, TX 77027 • 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
Lpl Financial, Llc Houston TX 12/2014 06/2025
Sfs Interests, Inc Houston TX 04/2016 09/2016
Wealth Enhancement Advisory Services, Llc Houston TX 08/2016 Present
Wealth Enhancement Brokerage Services Houston TX 08/2016 Present
V Wealth Management, Llc Overland Park KS 04/2016 09/2016
Wealth Enhancement Group Houston MN 08/2016 Present
  • 12/2014 → 06/2025
    Lpl Financial, Llc
    Houston, TX
  • 04/2016 → 09/2016
    Sfs Interests, Inc
    Houston, TX
  • 08/2016 → Present
    Houston, TX
  • 08/2016 → Present
    Wealth Enhancement Brokerage Services
    Houston, TX
  • 04/2016 → 09/2016
    V Wealth Management, Llc
    Overland Park, KS
  • 08/2016 → Present
    Wealth Enhancement Group
    Houston, MN
Other Businesses

Wealth Enhancement Group - Non-Variable Insurance - Investment Related - 505 N. Hwy 169 STE 900, Plymouth, MN 55441 - Start 08/01/2016 - 40 Hr/Mo; 6 Hour(s) During Securities Trading - Life, Health, LTC, Fixed Annuities. Wealth Enhancement Advisory Services, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 08/01/2016 - 40 Hours Per Month/6 Hours During Securities Trading - I provide investment advisory services through Wealth Enhancement Advisory Services, LLC, an independent investment advisor firm. I started this business activity in 08/2016. 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.adviserinfo.sec.gov/IAPD.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-05-01
  • S66 Uniform Combined State Law Examination
    2015-05-01
Designations
  • Certified Financial Planner
  • Chartered Financial Consultant
Other Names
  • Brad Hite Baxter

View on SEC IAPD

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