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Advisor at WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
CHARLOTTE, NC | PLYMOUTH, MN
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 | Dec 1, 2021 | n/a | yes | CHARLOTTE, NC|PLYMOUTH, MN | Current employment |
| CARROLL FINANCIAL ASSOCIATES INC | Former SEC adviser | Jun 9, 2009 | Dec 8, 2021 | no | CHARLOTTE, NC | Previous registration |
| CETERA ADVISOR NETWORKS LLC | Former SEC adviser | May 11, 2005 | Jun 5, 2009 | no | CHARLOTTE, NC|SPARTANBURG, SC|DUNCAN, SC|WELLFORD, SC|SPARTANBURG, SC | Previous registration |
| EQUITABLE ADVISORS, LLC | National bd RIA | Apr 19, 2004 | Mar 31, 2005 | no | GREENVILLE, SC | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| CARROLL FINANCIAL ASSOCIATES INC | WEALTH ENHANCEMENT ADVISORY SERVICES, LLC | Dec 8, 2021 | Dec 1, 2021 | -7 | Bulk transfer | RIA to ibd |
| CETERA ADVISOR NETWORKS LLC | CARROLL FINANCIAL ASSOCIATES INC | Jun 5, 2009 | Jun 9, 2009 | 4 | Firm change | Other |
| EQUITABLE ADVISORS, LLC | CETERA ADVISOR NETWORKS LLC | Mar 31, 2005 | May 11, 2005 | 41 | Firm change | Other |