James Dee

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2007 → 03/2017
  Cadaret, Grant & Co., Inc.
  Red Bank, NJ
• 03/2007 → 03/2017
  Wellesley Financial Planners
  Red Bank, NJ
• 04/2017 → 09/2023
  Purshe Kaplan Sterling Investments
  Albany, NY
• 04/2017 → 09/2023
  First Capital Advisor Group
  Little Silver, NJ
• 09/2023 → 06/2025
  Lpl Financial Llc
  Little Silver, NJ
• 09/2023 → Present
  Wealth Enhancement Group
  Little Silver, NJ
• 09/2023 → Present
  Wealth Enhancement Advisory Services
  Little Silver, NJ
• 09/2023 → Present
  Wealth Enhancement Group
  Little Silver, NJ

Previous Registrations

• 2017-04-25 → 2023-10-13
  First Capital Advisors Group, Llc
  Little Silver, NJ
• 2007-03-16 → 2017-04-03
  Cadaret, Grant & Co., Inc.
  Red Bank, NJ
  Old Bridge, NJ
• 2002-05-15 → 2007-03-19
  Wells Fargo Clearing Services, Llc
  West Long Branch, NJ
  Red Bank, NJ
  Eatontown, NJ

Other Businesses

1) 08/23/2023 - PRECISION LOGISTICS GROUP - Business Owner - FedEx Ground delivery contractor - NJ 08691 - Non investment related - 10 Hours per month - Start date: 08/31/2023. 2) 08/23/2023 - Insurance sales - Non-Variable Insurance - Selling: fixed annuities, term life, ltc, hybrid ltc, whole life - NJ 07739 - Investment related - 8 Hours per month - Start date: 08/31/2023. 3) 09/08/2023 - WEALTH ENHANCEMENT ADVISORY SERVICES LLC - Registered Investment Advisor Hybrid - Investment Related - At Reported business location(s) - Start Date 08/31/2023 - 160 Hours Per Month/ 8 Hours During Trading - I provide investment advisory services through WEALTH ENHANCEMENT ADVISORY SERVICES LLC, an independent investment advisor firm. I started this business activity in 9/2023. 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

• S65 Uniform Investment Adviser Law Examination
  2002-01-07
• S63 Uniform Securities Agent State Law Examination
  1987-08-05

Other Names

• James Joseph Dee