Steven W. Kaye

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CRD#: 1205757

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.

Steven Wayne Kaye was a registered financial professional .

Steven is a previously registered financial professional and started their career in finance in 1984. Steven had worked at 6 firms and has passed the Series 66, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

10/1/2019 Wealth Enhancement Group DBA Non-variable insurance. OFFICER OF AMERICAN BENEFITS PLANNING GROUP-INSURANCE AGENCY.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

October 4, 2019 - September 30, 2022

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

RIA

CRD#: 116407

WARREN, NJ

Past

December 17, 2003 - October 2, 2019

AEPG WEALTH STRATEGIES

RIA

CRD#: 109859

WARREN, NJ

Past

January 10, 1990 - December 15, 1997

NATHAN & LEWIS SECURITIES, INC.

CRD#: 8503

NEW YORK, NY

Past

November 19, 1989 - December 15, 1989

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

January 23, 1987 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

January 26, 1984 - January 9, 1987

CADARET, GRANT & CO., INC.

CRD#: 10641

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

WEALTH ENHANCEMENT | WEALTH ENHANCEMENT GROUP, LLC | WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

CRD#: 116407 / SEC#: 801-60749

RIA

Registered Investment Advisory firm - (12/21/2001 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/15/1999

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/4/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/21/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/1/1987

General Securities Principal Examination

Current Firm

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

WEALTH ENHANCEMENT | WEALTH ENHANCEMENT GROUP, LLC | WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

CRD#: 116407 / SEC#: 801-60749

RIA

Registered Investment Advisory firm - (12/21/2001 Approved)

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Contact information

Main Address

505 N Highway 169 Suite 900, Plymouth, MN 55441

Mailing Address

Phone number

(763) 417-1700

Established

Firm type

Fiscal year end

# of Employees

1,230

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WEAS ADV PART 2A APPENDIX 1 (10/13/2025)

WEAS ADV PART 2A (10/13/2025)

Regulatory assets under management

Total Number of Accounts	186,400
AUM (Assets Under Management)	$ 94,632,028,506

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/20/2024	Cover Page	Report
03/05/2024	Cover Page	Report
09/26/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Steven W. Kaye

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AEPG WEALTH STRATEGIES

NATHAN & LEWIS SECURITIES, INC.

OSAIC WEALTH, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

CADARET, GRANT & CO., INC.

Primary Firm SEC Registration

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/15/1999

Series 63

Date: 10/4/1985

Series 7

Date: 1/21/1984

Series 24

Date: 5/1/1987

Current Firm

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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