Andrew A. Serafini

Some features on this profile are disabled

CRD#: 1287976

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.

Andrew A Serafini, AIF®, CFP®, who also goes by Andrew Alan Serafini, Andy Serafini, was a registered financial professional .

Andrew is a previously registered financial professional and started their career in finance in 1984. Andrew had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 52 and Series 24 exams.

Biography

Andrew has been in the financial services industry since 1985. Initially employed with Van Kampen Merritt, a member of Xerox Financial Services, he worked in the portfolio evaluation unit monitoring more than $8 billion of municipal bond trusts. He later joined Butcher & Singer as a registered investment executive. Through extensive training and hands-on experience in the investment banking and brokerage industry, he gained a fundamental understanding of the financial world and an in-depth knowledge of investments. Andrew joined Wealth Enhancement Group in 2021 through the Serafini Financial Group acquisition. Andrew and his wife, Diana, reside in Hagerstown, Maryland, and have four children.

Question & Answer

What are your service offerings?

Estate Planning

Insurance Planning

Comprehensive Financial Planni...

Investment Planning

Retirement Planning

Are you a "fiduciary"?

Aliases

Andrew Alan Serafini | Andy Serafini

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.

1) 8/2021 - DBA for LPL Business (entity for LPL business) - WEALTH ENHANCEMENT GROUP - Investment Related - Hagerstown, MD 21740 2) 11/2001 - Real Estate Rental - JFS, LLC - Investment Related - 5% - 1110 Opal Court, Suite 1, Hagerstown, MD 21740 3) 6/2019 - Real Estate Rental - Andrew Serafini - 1% - 13918 Marsh Pike, Hagerstown, MD 21742 4) 8/12/2021 - WEALTH ENHANCEMENT ADVISORY SERVICES LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 8/1/21 - 160 Hours Per Month/80 Hours During Securities Trading - Time Spent 80% - I provide investment advisory services through WEALTH ENHANCEMENT ADVISORY SERVICES LLC, an independent investment advisor firm. I started this business activity in 8/2021. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

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®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

Start date: 1990

Experience

Past

August 13, 2021 - August 5, 2024

WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC

CRD#: 130139

PLYMOUTH, MN

Past

August 2, 2021 - August 5, 2024

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

CRD#: 6517

Past

October 4, 1984 - July 3, 1985

INVESCO CAPITAL MARKETS, INC.

CRD#: 6939

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

Series 63

Date: 7/2/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/17/1984

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 10/3/1984

Municipal Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/22/1993

General Securities Principal Examination

Current Firm

WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC

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

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

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

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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

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.

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

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Andrew A. Serafini

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

LPL FINANCIAL LLC

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

SII INVESTMENTS, INC.

SII INVESTMENTS, INC.

LIGHTHOUSE WEALTH MANAGEMENT

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

LINCOLN INVESTMENT

BUTCHER & SINGER INC.

INVESCO CAPITAL MARKETS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/2/1985

SIE

Date: 10/1/2018

Series 7

Date: 11/17/1984

Series 52

Date: 10/3/1984

Series 24

Date: 1/22/1993

Current Firm

WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC

TRUST BUT VERIFY

Contact information

Similar Advisors