Roger W. Arnold
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.
Roger Wayne Arnold was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1984. Roger had worked at 8 firms and has passed the Series 66, Series 63, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 2, 2010 - September 10, 2012
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
January 27, 2010 - October 22, 2012
LPL FINANCIAL LLC
July 10, 2009 - December 31, 2009
THRIVENT INVESTMENT MANAGEMENT INC.
April 13, 2006 - December 31, 2009
THRIVENT INVESTMENT MANAGEMENT INC.
October 5, 2005 - March 27, 2006
OSAIC WEALTH, INC.
February 9, 2002 - September 27, 2005
PARKLAND SECURITIES, LLC
August 27, 2001 - February 9, 2002
WALNUT STREET SECURITIES, INC.
January 23, 1998 - August 23, 2001
WOODBURY FINANCIAL SERVICES, INC.
June 22, 1984 - January 26, 1998
VOYA FINANCIAL ADVISORS, 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)
Documents
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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