Allison C. Kass
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Allison Carol Kass, who also goes by Allison Carol Kass, Allison Kass, was a registered financial professional .
Allison is a previously registered financial professional and started their career in finance in 1981. Allison had worked at 7 firms and has passed the SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 7, 2021 - February 5, 2024
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
July 1, 2021 - March 25, 2024
LPL FINANCIAL LLC
January 23, 2018 - June 30, 2021
MUTUAL SECURITIES, INC.
November 8, 2012 - January 19, 2018
LPL FINANCIAL LLC
April 17, 2008 - November 13, 2012
SII INVESTMENTS, INC.
November 4, 1988 - September 21, 2007
FIDELITY BROKERAGE SERVICES LLC
January 16, 1986 - February 10, 1989
KENNETH, JEROME & CO.,INC.
December 24, 1981 - January 31, 1985
KKL & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
CRD#: 130139 / SEC#: , 8-66305
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WEALTH ENHANCEMENT GROUP, LLC | OWNER | |
| CAHN, JAMES LOREN | VICE PRESIDENT | 6052512 |
| CAIN, STEPHANIE M | HEAD OF SUPERVISION | 4081085 |
| CLARK, LISA LYNN | OPERATIONS OFFICER | 2271616 |
| DEKKO, JEFFREY THOMAS HAROLD | VICE PRESIDENT | 4648018 |
| DIECKHAUS, JOSEPH ALAN | CHIEF COMPLIANCE OFFICER | 5374613 |
| FURCHT, ELIZABETH ANN | SECRETARY | 5778785 |
| WINDORSKI, KELLY JOSEPH | CHIEF MANAGER AND CHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL OFFICER, TREASURER, AND FINANCIAL OPERATIONS PRINCIPAL | 3211118 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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