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DENNIS PATRICK HOULTON

DENNIS P. HOULTON

Some features on this profile are disabled
CRD#: 1316321
DENNIS PATRICK HOULTON

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.

DENNIS PATRICK HOULTON, who also goes by Pat Houlton, was a registered financial professional .

DENNIS is a previously registered financial professional and started their career in finance in 1984. DENNIS had worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.

Biography

Pat has a 25 plus year history in both personal and business financial planning. He is proud to have worked with many clients for twenty-plus years. Prior to beginning his career in financial planning in 1984, Pat attended St. Norbert College in DePere, Wisconsin, played briefly in the NFL, and worked for the State of Wisconsin as a master level social worker. Pat lives in Stillwater, Minnesota with his wife, Janet. They enjoy visiting their children and grandchildren. Pat’s other interests include being active in his church, volunteering, athletics, reading and fly fishing.
top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Pat Houlton

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) 04/2023 - WEALTH ENHANCEMENT GROUP - DBA for LPL Business (entity for LPL business) - Inv. Related - WAYZATA, MN 2) 04/2023 - No business name - Non-Variable Insurance - Inv. Related - Fargo, ND - Agent Selling Insurance - Start Date 05/01/2023 - 4hrs/month - 5% time spent 3) 06/07/2023 - WEALTH ENHANCEMENT ADVISORY SERVICES LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date 5/1/2023 - 60 Hours Per Month/ 3 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through WEALTH ENHANCEMENT ADVISORY SERVICES LLC, an independent investment advisor firm. I started this business activity in 06/2023. 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®
None

Experience

Past

July 24, 2023 - February 28, 2025

WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC

BD
CRD#: 130139
PLYMOUTH, MN
Past

May 17, 2023 - February 28, 2025

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

RIA
CRD#: 116407
WAYZATA, MN
Past

May 1, 2023 - May 2, 2023

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

RIA
CRD#: 116407
WAYZATA, MN
Past

May 1, 2023 - April 15, 2025

LPL FINANCIAL LLC

BD
CRD#: 6413
WAYZATA, MN
Past

March 2, 2017 - May 2, 2023

J. W. COLE ADVISORS, INC.

RIA
CRD#: 112294
WAYZATA, MN
Past

January 22, 2014 - May 31, 2023

NEW ERA FINANCIAL ADVISORS, INC.

RIA
CRD#: 110603
WAYZATA, MN
Past

May 10, 2013 - May 2, 2023

J.W. COLE FINANCIAL, INC.

BD
CRD#: 124583
WAYZATA, MN
Past

September 3, 2009 - May 10, 2013

FINANCIAL ADVISERS OF AMERICA, LLC

BD
CRD#: 142170
WAYZATA, MN
Past

March 31, 1999 - September 3, 2009

MUTUAL SERVICE CORPORATION

BD
CRD#: 4806
WAYZATA, MN
Past

November 21, 1984 - March 31, 1999

TITAN/VALUE EQUITIES GROUP, INC.

BD
CRD#: 6359
IRVINE, CA

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: 11/27/1984
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: 11/17/1984
General Securities Representative 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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

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

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.

Company Information

WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC

Senior Vice President, Financial AdvisorCRD#: 130139

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