DFX Intelligence
Data Factory
Reading the graph
Reading the graph
Advisor at WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
PLYMOUTH, MN | DALLAS, TX
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| WEALTH ENHANCEMENT ADVISORY SERVICES, LLC | Bd affiliated wealth | May 7, 2024 | n/a | yes | PLYMOUTH, MN|DALLAS, TX | Current employment |
| THE RETIREMENT GROUP, LLC | Former SEC adviser | Jan 27, 2018 | Jun 7, 2024 | no | COLLEYVILLE, TX|SAN DIEGO, CA | Previous registration |
| THE RETIREMENT GROUP, LLC | Former SEC adviser | Jan 11, 2017 | Dec 31, 2017 | no | Colleyville, TX|SAN DIEGO, CA | Previous registration |
| FSC SECURITIES CORPORATION | Former SEC adviser | Dec 3, 2010 | Apr 18, 2016 | no | HUDSON OAKS, TX|DALLAS, TX | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Jul 10, 2008 | Nov 3, 2010 | no | DALLAS, TX | Previous registration |
| UBS FINANCIAL SERVICES INC. | Wirehouse | May 25, 2007 | May 29, 2008 | no | DALLAS, TX | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| THE RETIREMENT GROUP, LLC | WEALTH ENHANCEMENT ADVISORY SERVICES, LLC | Jun 7, 2024 | May 7, 2024 | -31 | Firm change after gap | RIA to RIA |
| FSC SECURITIES CORPORATION | THE RETIREMENT GROUP, LLC | Apr 18, 2016 | Jan 11, 2017 | 268 | Firm change | Other |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | FSC SECURITIES CORPORATION | Nov 3, 2010 | Dec 3, 2010 | 30 | Firm change | Other |
| UBS FINANCIAL SERVICES INC. | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | May 29, 2008 | Jul 10, 2008 | 42 | Firm change | Wirehouse to wirehouse |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 148296:116407:CA:2024-05-31 | Jun 7, 2024 | May 7, 2024 | SAN DIEGO, CA | Firm change after gap |
| 7461:148296:TX:2016-04-18 | Apr 18, 2016 | Jan 11, 2017 | DALLAS, TX | Firm change |