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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
AZ RA APPROVED 2024-11-07
TX RA APPROVED_RES 2024-11-01
  • AZ RA
    APPROVED
    Since 2024-11-07
  • TX RA
    APPROVED_RES
    Since 2024-11-01

Branch Locations

4280 N Campbell Ave Suite 200, Tucson, AZ 85718 • 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
Lpl Financial Tucson AZ 09/2003 06/2025
Householder Group Estate And Retirement Specialists, Llc Tucson AZ 01/2023 10/2024
Wealth Enhancement Group Tucson AZ 11/2024 Present
Wealth Enhancement Advisory Services Tucson AZ 11/2024 Present
Wealth Enhancement Brokerage Services Tucson AZ 11/2024 Present
  • 09/2003 → 06/2025
    Lpl Financial
    Tucson, AZ
  • 01/2023 → 10/2024
    Householder Group Estate And Retirement Specialists, Llc
    Tucson, AZ
  • 11/2024 → Present
    Wealth Enhancement Group
    Tucson, AZ
  • 11/2024 → Present
    Wealth Enhancement Advisory Services
    Tucson, AZ
  • 11/2024 → Present
    Wealth Enhancement Brokerage Services
    Tucson, AZ
Previous Registrations
  • 2023-01-19 → 2024-11-01
    Householder Group Estate & Retirement Specialists
    Tucson, AZ
    Scottsdale, AZ
  • 2004-02-03 → 2023-06-15
    Tucson, AZ
    Tucson, AZ
    Tucson, AZ
    Tucson, AZ
    Tucson, AZ
Other Businesses

1) 3/1/2004: No Business Name - Not Investment Related - Tax Prep/Accounting/CPA - INCOME TAX RETURNS FOR FRIENDS AND FAMILY. 2) 12/03/2024 - WEALTH ENHANCEMENT ADVISORY SERVICES - Registered Investment Advisor Hybrid - IAR - Investment Related - At Reported Business Location(s) - Start Date 09/01/2024 - 160 hours per month/ 120 hours during trading - I provide investment advisory services through Wealth Enhancement Advisory Services, an independent investment advisor firm. I started this business activity in 12/2024. 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 service6s at http://www.adviserinfo.sec.gov/IAPD.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-08-07
S63 Uniform Securities Agent State Law Examination 1981-09-15
  • S65 Uniform Investment Adviser Law Examination
    1992-08-07
  • S63 Uniform Securities Agent State Law Examination
    1981-09-15

View on SEC IAPD

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