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Benjamin Kelly Graves

Benjamin K. Graves

CRD#: 1233469
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Benjamin Kelly Graves
Benjamin Kelly Graves

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.

Benjamin Kelly Graves, CFP®, who also goes by Benjamin Kelly Graves Jr, Kelly Graves, was a registered financial professional .

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

Biography

Kelly joined Wealth Enhancement Group in 2021. He works with local families and small businesses to assist them in pursuing their financial goals, including college, retirement, and estate planning as well as wealth transfer. Kelly received his CERTIFIED FINANCIAL PLANNER™ designation in 1985. He is past President of Carolina’s Chapter of the Financial Planning Association and was elected to the National Board of the FPA in 1990. He was the ninth person in North Carolina admitted to the Registry of Financial Planning Practitioners. Carroll Financial has been acquired by Wealth Enhancement Group. For a list of states in which we are registered to do business, please visit www.wealthenhancement.com.

Question & Answer

What are your service offerings?
Financial planning
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
500K
Are you a "fiduciary"?
No

Aliases

Benjamin Kelly Graves Jr | Kelly Graves

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.
The advisor shows no other business activity.

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®
CFP®

Certified Financial Planner

Start date: 1986

Experience

Past

January 20, 2022 - December 31, 2025

WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC

BD
CRD#: 130139
CHARLOTTE, NC
Past

December 1, 2021 - December 31, 2025

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

RIA
CRD#: 116407
CHARLOTTE, NC
Past

November 30, 2021 - June 30, 2025

LPL FINANCIAL LLC

BD
CRD#: 6413
CHARLOTTE, NC
Past

December 31, 2001 - December 8, 2021

CARROLL FINANCIAL ASSOCIATES INC

RIA
CRD#: 105427
CHARLOTTE, NC
Past

July 18, 1994 - December 7, 2021

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
CHARLOTTE, NC
Past

August 22, 1985 - July 18, 1994

KEOGLER, MORGAN & COMPANY, INC.

BD
CRD#: 16546
ATLANTA, GA
Past

March 22, 1984 - August 29, 1985

FSC SECURITIES CORPORATION

BD
CRD#: 7461

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.

Exams

State Security Law Exam
RR
Series 63
Date: 3/29/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/17/1984
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/31/1986
General Securities Principal Examination

Current Firm

WE
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
WEALTH ENHANCEMENT | WEALTH ENHANCEMENT GROUP, LLC | WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC

CRD#: 130139 / SEC#: , 8-66305

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
505 N Highway 169 Suite 900, Plymouth, MN 55441
Mailing Address
505 N Highway 169 Suite 900, Plymouth, MN 55441
Phone number
(763) 417-1700
Established
Minnesota since 06/02/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
WEALTH ENHANCEMENT GROUP, LLCOWNER
CAHN, JAMES LORENVICE PRESIDENT6052512
CAIN, STEPHANIE MHEAD OF SUPERVISION4081085
CLARK, LISA LYNNOPERATIONS OFFICER2271616
DEKKO, JEFFREY THOMAS HAROLDVICE PRESIDENT4648018
DIECKHAUS, JOSEPH ALANCHIEF COMPLIANCE OFFICER5374613
FURCHT, ELIZABETH ANNSECRETARY5778785
WINDORSKI, KELLY JOSEPHCHIEF MANAGER AND CHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL OFFICER, TREASURER, AND FINANCIAL OPERATIONS PRINCIPAL3211118

Red Flags

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

Company Information

WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC

Senior Vice President, Financial Advisor at Wealth Enhancement GroupCRD#: 130139

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Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

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