James L Wiley

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
PA	RA	APPROVED	2019-06-03

PA RA
APPROVED

Since 2019-06-03

Branch Locations

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

300 Barr Harbor Dr Suite 175, West Conshohocken, PA 19428 • 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

Organization	City	State	From	To
Live Your Vision, Llc / The Wiley Group	West Conshohocken	PA	10/2009	06/2019
Purshe Kaplan Sterling Investments, Inc.	Albany	NY	10/2009	06/2019
Wealth Enhancement Group	Plymouth	MN	06/2019	Present
Wealth Enhancement Advisory Services	Plymouth	MN	06/2019	Present

10/2009 → 06/2019

Live Your Vision, Llc / The Wiley Group

West Conshohocken, PA
10/2009 → 06/2019

Purshe Kaplan Sterling Investments, Inc.

Albany, NY
06/2019 → Present

Wealth Enhancement Group

Plymouth, MN
06/2019 → Present

Wealth Enhancement Advisory Services

Plymouth, MN

Previous Registrations

2009-10-02 → 2019-07-02

Wiley Group

West Conshohocken, PA
2009-06-01 → 2009-10-05

Morgan Stanley

West Conshohocken, PA
2009-04-23 → 2009-06-01

Morgan Stanley & Co. Llc

West Conshohocken, PA

Other Businesses

1) LIVE YOUR VISION, LLC /TAX AND INVESTMENT PURPOSES.YOUR HANDBOOK OF PERSONAL FINANCE; INVESTMENT RELATED; FIVE TOWER BRIDGE 300 BARR HARBOR DR, STE 175 W CONSHOHOCKEN, PA 19428; BOOK AUTHOR; START DATE: JUNE 2011; 1 TIME EVENT 0 HRS/MO 3)SINCE 9/18/2013, AN INVESTOR/OWNER IN TGWJLW AND BELLARMANI, A REAL ESTATE INVESTMENT FIRM LOCATED AT 820 TURNBRIDGE ROAD, WAYNE, PA 19087. THIS IS NON INVESTMENT RELATED AND PRIMARY DUTY IS AS LANDLORD. APPROXIMATELY 0 HOURS PER MONTH IS SPEND WITH THIS ENTITY DURING TRADING HOURS. 6/1/2019 Wealth Enhancement Group DBA and non-variable insurance.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-04-01
S63	Uniform Securities Agent State Law Examination	1983-08-18

S65 Uniform Investment Adviser Law Examination

1996-04-01
S63 Uniform Securities Agent State Law Examination

1983-08-18

Other Names

James Lester Wiley

View on SEC IAPD